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Sourcebook Modules

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


Contents:
Application Forms and Notices Module (AFN) [VER43/08-18]
Code of Market Conduct (CMC) [VER3/08-17]
CMC 1 Introduction
CMC 2 Market Manipulation and Fraud
CMC 3 Dissemination of False or Misleading Information
CMC 4 Use of Fictitious Devices and Other Forms of Deception
CMC 5 False or Misleading Conduct and Distortion
CMC 6 Insider Dealing
CMC 7 Providing Inside Information
CMC 8 Inducing Another Person to Deal
CMC 9 Misuse of Information
CMC 10 Specific Market Practices
CMC 11 Enforcement Powers
Prudential Returns Module (PRU) [VER4/03-15]
PRU Introduction
PRU 1 Instructional Guidelines for PIB forms
PRU 2 PIB Forms
PRU 3 Instructional Guidelines for PIN Forms
PRU 4 PIN Forms
Regulatory Policy and Process Sourcebook (RPP) February 2017 Edition
RPP 1 Introduction
RPP 2 Authorisation — Becoming Regulated
RPP 3 Supervision — Being Regulated
RPP 4 Supervisory and Enforcement Powers
RPP 5 Enforcement
RPP 6 Penalty Guidance
RPP 7 Decision Making
RPP 8 Confidential Regulatory Information
RPP 9 Waivers and Modifications
RPP 10 Permissible Company and Trading Names for Entities Established in the DIFC
Appendix 1 [Deleted]
Notices of Updates
Regulatory Policy and Process Module - February 2017 Edition
Regulatory Policy and Process Module - February 2016 Edition
Regulatory Policy and Process Module - July 2015 Edition
Regulatory Policy and Process Module - May 2015 Edition
Regulatory Policy and Process Module - February 2015 Edition
Regulatory Policy and Process Module - November 2014 Edition
Regulatory Policy and Process Module - August 2014 Edition
Regulatory Policy and Process Module - July 2013 Edition
Regulatory Policy and Process Module – December 2012 Edition
Regulatory Policy and Process Module – July 2012 Edition
Archive
Application Forms and Notices Module (AFN)
Code of Market Conduct (CMC)
Prescribed Forms and Notices (PFN)
Prudential Returns Module (PRU-EPRS)
Regulatory Policy and Process Sourcebook (RPP)