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Dubai Financial Services Authority (DFSA): Contents

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Jul 14 2013 onwards

AMI 3.2.1

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The definitive version of DFSA handbook text is the PDF version as that is the text of the instrument as made and published by the DFSA.

To view past versions of this module in PDF format, please visit the Archive.

(1) In order to become authorised to carry on one or both of the Financial ServicesG of Operating an ExchangeG or Operating a Clearing HouseG , the applicant must demonstrate to the satisfaction of the DFSAG that it can meet the relevant Licensing RequirementsG specified in chapters 5, 6 and 7, as appropriate to the Financial ServicesG it proposes to carry on, both at the point of the grant of the LicenceG and thereafter on an on-going basis.
(2) In order to obtain an endorsement on its LicenceG to:
(a) maintain an Official List of SecuritiesG ;
(b) operate a Multilateral Trading FacilityG ; or
(c) act as a Trade RepositoryG ,
the applicant must demonstrate to the satisfaction of the DFSAG that it can meet the requirements applicable to PersonsG undertaking the relevant activities, both at the point of the grant of the endorsement and thereafter on an on-going basis.
Derived from RM118/2013 [VER15/07-13]