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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
Rulebook Modules
Ancillary Service Providers Module (ASP) [VER7/09-08]
Anti Money Laundering Module (AML) [VER6/01-10]
Authorisation Module (AUT) [VER13/07-10]
Authorised Market Institutions (AMI) [VER9/03-10]
Collective Investment Rules (CIR) [VER13/07-10]
Conduct of Business Module (COB) [VER19/07-10]
Enforcement Module (ENF) [VER3/07-10]
Fees Module (FER) [VER4/07-10]
General Module (GEN) [VER26/07-10]
Glossary Module (GLO) [VER23/07-10]
Islamic Finance Rules (IFR) [VER2/07-10]
Offered Securities Rules (OSR) [VER15/07-10]
Price Stabilisation Module (PRS) [VER3/07-10]
Prudential — Insurance Business Module (PIN) [VER10/07-08]
Prudential — Investment, Insurance Intermediation and Banking Module (PIB) [VER17/07-10]
Recognition (REC) [VER5/11-08]
Representative Office Module (REP) [VER2/07-10]
Supervision Module (SUP) [VER6/01-10]
Takeover Rules Module (TKO) [VER4/01-09]
Archive
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Rulemaking Instruments
Guidance Making Instruments
Tailored Handbooks for Islamic Finance
Media Releases
Notices
Regulatory Appeals Committee
Financial Markets Tribunal

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Location: Dubai Financial Services Authority (DFSA) > Rulebook Modules
3. Defined Terms Ancillary Service Providers Module (ASP) [VER7/09-08]

Rulebook Modules
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Contents:
Ancillary Service Providers Module (ASP) [VER7/09-08]
ASP 1 Application
ASP 2 Definition of Ancillary Services
ASP 3 General Provisions
ASP 4 Regulatory Processes
ASP 5 Anti Money Laundering Officer
ASP 6 Anti Money Laundering Rules Applying to Ancillary Services
ASP App1 [Deleted]
ASP App2 Customer Identification Requirements
ASP App3 Money Laundering Risks
ASP Archive
Anti Money Laundering Module (AML) [VER6/01-10]
AML 1 Introduction
AML 2 Application and Purpose
AML 3 Anti Money Laundering Compliance Requirements
AML App1 Customer Identification Requirements
AML App2 Money Laundering Risks
Authorisation Module (AUT) [VER13/07-10]
Part 1 Overview
Part 2 Authorised Firms
Part 3 Authorised Individuals and Licensed Functions
Part 4 Controllers
Part 5 Endorsement
AUT App1 Guidance on Fitness and Propriety
Authorised Market Institutions (AMI) [VER9/03-10]
AMI 1 Introduction
AMI 2 Application for a Licence
AMI 3 Application to Change the Scope of a Licence
AMI 4 Determination
AMI 5 Withdrawal of a Licence
AMI 6 Controllers
AMI 7 Licensing Requirements
AMI 8 Ongoing Obligations of an Authorised Market Institution
AMI 9 Amendments to Business Rules and Listing Rules
AMI 10 Supervision of Authorised Market Institutions
AMI 11 Anti Money Laundering Rules for Authorised Market Institutions
AMI 12 Enforcement Powers and Authorised Market Institutions
AMI 13 [Deleted]
AMI 14 Appeals of Exchange Decisions
AMI App1 Guidance on Fitness and Propriety
AMI App2 Identification and Ongoing Due Diligence Requirements
AMI App3 Money Laundering Risks
Collective Investment Rules (CIR) [VER13/07-10]
Part 1 Introduction
Part 2 Definitional Provisions
Part 3 Fund Functionaries
Part 4 Core Rules Relating to Establishment and Management of Domestic Funds
Part 5 Rules Specific to Different Types of Domestic Funds
Part 6 Rules Specific to Specialist Classes of Domestic Funds
Part 7 Marketing of Domestic and Foreign Funds
Part 8 Transfer Schemes and Winding Up of Domestic Funds
Part 9: Transitional Rules
CIR App 1 Delegation And Outsourcing
CIR App 2 Meeting Procedures
CIR App 3 Approvals and Notifications
CIR App 4 Guidance On Asset Valuation And Pricing
CIR App 5 Constitution of a Domestic Fund
CIR App 6 Guidance on Fitness and Propriety for Oversight Functions
CIR App 7 Public Fund Prospectus Disclosure
CIR App 8 Guidance for Hedge Fund Manangers
Conduct of Business Module (COB) [VER19/07-10]
COB 1 Introduction
COB 2 Client Classification
COB 3 Core Rules — Investment Business, Accepting Deposits, Providing Credit and Providing Trust Services
COB 4 Additional Rules — Accepting Deposits and Providing Credit
COB 5 Additional Rules — Providing Trust Services
COB 6 Additional Rules — Investment Business
COB 7 Core Rules — Insurance
COB App 1 Records of Orders and Transactions
COB App 2 Key Information and Client Agreement
COB App 3 Confirmation of Transactions
COB App 4 Periodic Statements
COB App 5 Client Money Provisions
COB App 6 Safe Custody Provisions
Enforcement Module (ENF) [VER3/07-10]
ENF 1 Introduction
ENF 2 Enforcement Approach of the DFSA
ENF 3 Assessment of Allegations
ENF 4 Commencement of Investigations
ENF 5 Information Gathering and Investigation Powers
ENF 6 Conclusion of Investigations
ENF 7 Decision Making Process
ENF 8 Enforceable Undertakings
ENF 9 Settlement
ENF App1 Forms
ENF App2 Enforcement Process
ENF App3 Procedure for Receiving Representations
ENF App4 Fines
Fees Module (FER) [VER4/07-10]
FER 1 Introduction
FER 2 Application Fees
FER 3 Periodic Fees
FER 4 Filing Fees
FER 5 Takeover Fees
General Module (GEN) [VER26/07-10]
GEN 1 Introduction
GEN 2 Financial Services
GEN 3 Financial Services which may be carried on in or from the DIFC
GEN 4 Core Principles
GEN 5 Management, Systems and Controls
GEN 6 General Provisions
GEN 7 [Deleted]
GEN 8 Accounting and Auditing
GEN 9 Complaints Handling and Dispute Resolution
GEN 10 Transitional Rules
GEN App1 Deposits
GEN App2 Investments
GEN App3 [Deleted]
GEN App4 Contracts of Insurance
GEN App5 [Deleted]
GEN App6 [Deleted]
Glossary Module (GLO) [VER23/07-10]
GLO 1 Introduction
GLO 2 Glossary
Islamic Finance Rules (IFR) [VER2/07-10]
IFR 1 Introduction
IFR 2 Islamic Finance
IFR 3 General Obligations
IFR 4 Accounting Standards
IFR 5 Managing Profit Sharing Investment Accounts
IFR 6 Islamic Collective Investment Funds
IFR 7 Conduct Rules for Offers of Islamic Securities
IFR 8 Takaful Insurance
IFR App 1 Prospectus Disclosures for Islamic Funds
Offered Securities Rules (OSR) [VER15/07-10]
OSR 1 Introduction
OSR 2 Offers of Securities
OSR 3 Exempt Offers of Securities
OSR 4 Prospectus Offers of Securities
OSR 5 Prospectus Requirements
OSR 6 Responsibility for Prospectuses
OSR 7 Listed Securities
OSR 8 Obligations of Reporting Entities
OSR 9 Disclosure of Interests by Connected Persons
OSR 10 Sponsors
OSR 11 Compliance Advisers
OSR 12 Contraventions, Enforcement and Stop Orders
OSR 13 [Deleted]
OSR 14 Waivers or Modifications
OSR App 1 Contents of Prospectus
OSR App 2 Continuing Obligations
OSR App 3 Consent of Holders of Securities
OSR App 4 Corporate Governance and Directors' Dealings
OSR App 5 List of Exempt Offerors
OSR App 6 [Deleted]
OSR App 7 Price Sensitive Information
Price Stabilisation Module (PRS) [VER3/07-10]
PRS 1 Introduction
PRS 2 Price Stabilisation
PRS 3 Appointment of Stabilisation Manager and Agents
PRS 4 General Conditions
PRS 5 Register
PRS 6 Dual-Listings and Price Stabilisation Activities
Prudential — Insurance Business Module (PIN) [VER10/07-08]
PIN 1 Application
PIN 2 Management and Control of Risk
PIN 3 Long-Term Insurance Business
PIN 4 Capital Adequacy
PIN 5 Measurement of Assets and Liabilities of Insurers
PIN 6 Financial and Other Reporting by Insurers
PIN 7 Actuaries
PIN 8 Consolidated Supervision
PIN 9 Insurers in Run-off
PIN 10 Insurance Special Purpose Vehicles
PIN App1 Guide to the Appendices
PIN App2 Management and Control of Risk
PIN App3 Calculation of Adjusted Capital Resources
PIN App4 Calculation of Minimum Capital Requirement
PIN App5 Calculation of Adjusted Non-Cellular Capital Resources and Adjusted Cellular Capital Resources
PIN App6 Calculation of Minimum Non-Cellular Capital Requirement and Minimum Cellular Capital Requirement
PIN App7 Calculation of Adjusted Fund Capital Resources
PIN App8 Calculation of Minimum Fund Capital Requirement
PIN App9 Calculation of DIFC Business Risk Capital Requirement
PIN App10 Reporting to the DFSA
Prudential — Investment, Insurance Intermediation and Banking Module (PIB) [VER17/07-10]
PIB 1 General Requirements
PIB 2 Capital
PIB 3 Not currently in use
PIB 4 Credit risk
PIB 5 Market risk
PIB 6 Liquidity risk
PIB 7 Group risk
PIB 8 Operational risk
PIB App1 General Requirements — Detail in the Trading Book
PIB App2 Capital
PIB App3 [not currently used]
PIB App4 Credit Risk
PIB App5 Market Risk
PIB App6 Liquidity
PIB App7 Reporting to DFSA
Recognition (REC) [VER5/11-08]
REC 1 Application of the Recognition Module
REC Part 1 Recognised Bodies
REC Part 2 Recognised Members
REC Part 3 General Provisions
Representative Office Module (REP) [VER2/07-10]
REP 1 Application
REP 2 Authorisation
REP 3 Core Principles
REP 4 General Provisions
REP 5 Regulatory Processes
REP 6 Anti Money Laundering
REP APP1 Guidance on Fitness and Propriety
Supervision Module (SUP) [VER6/01-10]
SUP 1 General Approach to Supervision
SUP 2 Information Gathering
SUP 3 Waivers
SUP 4 Requirement to Provide a Report
SUP 5 Imposing Restrictions
SUP 6 [Not currently used]
SUP 7 Notifications
SUP 8 Reporting
SUP 9 Creation or Transactions of Cells of a Protected Cell Company
SUP App1 Risks to the DFSA Objectives
Takeover Rules Module (TKO) [VER4/01-09]
TKO 1 Introduction and the Takeover Principles
TKO 2 The Approach, Announcements and Advice
TKO 3 Restricted Dealings Before and During an Offer Period
TKO 4 Mandatory Bids
TKO 5 The Terms of a Voluntary Bid
TKO 6 Provisions Applicable to All Bids
TKO 7 Conduct During a Bid
TKO 8 Documents Issued by Governing Bodies
TKO 9 Profit Forecasts
TKO 10 Asset Valuations
TKO 11 Bid Timing and Revision
TKO 12 Restrictions Following Bids
TKO 13 Partial Bids
TKO 14 Redemption or Acquisition of Own Capital
TKO 15 [Deleted]
TKO 16 Waivers or Modifications
TKO 17 Enforcement
TKO App1 Contents of Bid Documents
TKO App2 Contents of Target Circulars
TKO App3 Contents of Subsequent Documents
TKO App4 [Deleted]
Archive
Ancillary Service Providers (ASP)
Anti Money Laundering (AML)
Authorisation (AUT)
Authorised Market Institutions (AMI)
Collective Investment Rules (CIR)
Conduct of Business (COB)
Data Protection Module (DAT)
Enforcement (ENF)
Fees (FER)
General (GEN)
Glossary (GLO)
Islamic Finance Rules (IFR)
Islamic Financial Business Module (ISF)
Offered Securities (OSR)
Price Stabilisation Module (PRS)
Prudential - Insurance Business (PIN)
Prudential - Investment, Insurance Intermediation and Banking Business (PIB)
Recognition (REC)
Representative Office (REP)
Supervision (SUP)
Takeover Rules (TKO)