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Dubai Financial Services Authority (DFSA): Contents

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Jul 14 2013 onwards

AMI 5 General Licensing Requirements Applicable to all Authorised Market Institutions

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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.


Contents:
AMI 5.1 Application
AMI 5.1.1
AMI 5.2 Organisational Requirements
AMI 5.2 Guidance
Fitness and Propriety
Human Resources
Governance
AMI 5.3 Licensed Functions and Key Individuals
Licensed Functions and Key Individuals
Members of the Governing Body
Senior Executive Officer
Finance Officer
Compliance Officer
Risk Officer
Money Laundering Reporting Officer
Internal Auditor
Residency of Key Individuals
Combining Roles
AMI 5.4 Conflicts of Interests
AMI 5.4.1
AMI 5.4.2
AMI 5.4.3
Performance of Regulatory Functions
AMI 5.5 Operational Efficiency and Resilience
Systems and Controls
AMI 5.5.2 Risk Management
Outsourcing
Financial Resources
Technology Resources
Regular Review of Systems and Controls
AMI 5.6 Business Rules
Content of Business Rules
Default Rules
Monitoring Compliance with Business Rules
Amendments to Business Rules
Public Consultation
Dispensation of Public Consultation
DFSA Approval
AMI 5.7 Access to Facilities
Member Criteria
Direct Electronic Access
AMI 5.8 Admission of Investments to Trading or Clearing
Investment Criteria
AMI 5.9 Integrity and Transparency
Integrity and Fair Dealing
Transparency
Transaction Recording
AMI 5.10 Safeguarding and Administration of Assets
AMI 5.10.1
AMI 5.10.2
AMI 5.10.3
AMI 5.11 Promotion and Maintenance of Standards
Orderly conduct on facilities
Prevention of Market Abuse, Money Laundering and Financial Crime
AMI 5.12 Miscellaneous Requirements
Whistleblowing
Handling of Complaints