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Dubai Financial Services Authority (DFSA): Contents

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Jul 14 2013 onwards

AMI 9 Supervision of 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 9.1 Application
AMI 9.1.1
AMI 9.2 Relations with Regulators and the Risk Based Approach
AMI 9.2.1
AMI 9.2.2
AMI 9.3 Notifications
AMI 9.3.1
AMI 9.4 Key Individuals
Notifications
Disciplinary Action and Events Relating to Key Individuals
AMI 9.5 Constitution and Governance
AMI 9.5.1
AMI 9.5.2
AMI 9.5.3
AMI 9.6 Financial and Other Information
AMI 9.6.1
AMI 9.6.2
AMI 9.6.3
AMI 9.6.4
Fees and Charges
AMI 9.7 Complaints
AMI 9.7.1
AMI 9.8 Notification
Notification in Respect of Trading
AMI 9.9 Information Technology Systems
AMI 9.9.1
AMI 9.9.2
Inability to Discharge Regulatory Functions
AMI 9.10 Investigations and Disciplinary Action
AMI 9.10.1
Disciplinary Action Relating to Persons Granted Access to its Facilities
Criminal Offences and Civil Prohibition
Directions by an Authorised Market Institution
AMI 9.11 Supervisory Directions
AMI 9.11 Guidance
AMI 9.12 Reports
AMI 9.12.1
AMI 9.13 Listing Directions
AMI 9.13 Guidance
AMI 9.14 Public Disclosures of Decisions in Relation to an Official List of Securities of an Authorised Market Institution
AMI 9.14.1