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How We Regulate
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Our Structure
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Board of Directors
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Board Committees
Laws and Rules
Legal Resources
Legislation
Consultation Papers
Policy Statements
Amendments to Legislation
DFSA Administered Laws
DFSA RuleBook
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About Authorisation
Firms
Individuals
Market Institutions
How to Prepare to Apply
How We Assess Applications
Authorisation Timeline
Tips For Applicants
Getting Help
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Islamic Finance Regulatory Regime
Registration
About Registration
Registered Auditors
DNFBP
Recognition
About Recognition
Recognised Body
Recognised Members
Supervision
About Supervision
Firms
Market Institutions
Recognised Bodies / Members
DNFBP
Registered Auditors
Approved Individuals
AML, CTF & Sanctions Compliance
Collective Investment Funds
Enforcement
About Enforcement
Regulatory Actions
Your Resources
Consultation Papers
Discussion Papers
Publications & Reports
About
Annual Report
DFSA in Action
Business Plan
Thematic Reviews
Stakeholder Surveys
Markets Publications
SEO Letters
Other Reports
DFSA Listing Authority
Laws & Rules
Systems & Reporting
Guides & Handbooks
Speeches & Presentations
FAQ
Forms & Checklists
Forms
Checklists
Fees
Public Register
Firms
Individuals
Waivers & Modification Notices
Funds
Notices
DFSA Alerts
Alerts
How to avoid being scammed
Supervised Firm Contact Form
DFSA Listing Authority
Checklists
Forms
Approved Documents
Regulatory Disclosure
Disclosure Database
Regulatory Announcement
Official List of Securities
Knowledge Base
Delisted Securities
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Dubai Financial Services Authority (DFSA): Contents
Dubai Financial Services Authority (DFSA)
Laws
Rulebook Modules
Sourcebook Modules
Application Forms and Notices Module (AFN) [VER42/04-18]
Code of Market Conduct (CMC) [VER3/08-17]
Prudential Returns Module (PRU) [VER4/03-15]
Regulatory Policy and Process Sourcebook (RPP) February 2017 Edition
Notices of Updates
Archive
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Notices
Financial Markets Tribunal
Archive
Connected by Complinet
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Dubai Financial Services Authority (DFSA)
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Sourcebook Modules
Takeover Rules (TKO)
Application Forms and Notices Module (AFN) [VER42/04-18]
Sourcebook Modules
View whole section
Contents:
Application Forms and Notices Module (AFN) [VER42/04-18]
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)