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Feb 1 2017 onwards

REC 3.4.5 Suspected Market Abuse

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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) A Recognised Member must notify the DFSA immediately if it:
(a) receives an order from a ClientG , or arranges or executes a transaction with or for a ClientG ; and
(b) has reasonable grounds to suspect that the order or transaction may constitute Market AbuseG .
(2) The notification under (1) must specify:
(a) sufficient details of the order or transaction; and
(b) the reasons for the Recognised MemberG suspecting that the order or transaction may constitute Market AbuseG .
(3) A Recognised MemberG must not inform the ClientG , or any other Person involved in the order or transaction, of a notification under this Rule.
Derived from DFSA RM191/2016 (Made 7th December 2016). [VER11/02-17]