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Rulebook Modules

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Contents:
Anti-Money Laundering, Counter-Terrorist Financing and Sanctions Module (AML) [VER12/08-16]
AML 1 Introduction
AML 2 Overview and Purpose of the Module
AML 3 Interpretation and Terminology
AML 4 Applying a Risk-Based Approach
AML 5 Business Risk Assessment
AML 6 Customer Risk Assessment
AML 7 Customer Due Diligence
AML 8 Reliance and Outsourcing
AML 9 Correspondent Banking, Wire Transfers, Anonymous Accounts and Audit
AML 10 Sanctions and Other International Obligations
AML 11 Money Laundering Reporting Officer
AML 12 AML Training and Awareness
AML 13 Suspicious Activity Reports
AML 14 General Obligations
AML 15 DNFBP Registration and Supervision
AML 16 Transitional Rules
Authorised Market Institutions (AMI) [VER17/04-16]
Part 1 Introduction
Part 2 Application and Authorisation
Part 3 Licensing Requirements
Part 4 Other Requirements
AMI App 1 Testing of Technology Systems
AMI App 2 Use of Price Information Providers
AMI App 3 Contract Delivery Specifications
Auditor Module (AUD) [VER2/08-16]
Part 1 Introduction
Part 2 Registered Auditors and Audit Principals
Part 3 Appointment and Resignation of Auditor and Conduct of Audits
AUD App 1 Regulatory Returns Auditors Report
AUD App 2 Client Money Auditor's Report
AUD App 3 Insurance Monies Auditor's Report
AUD App 4 Safe Custody Auditor's Report
AUD App 5 Fund Auditor's Report
AUD App 6 Public Listed Company Auditor's Report
Conduct of Business Module (COB) [VER27/08-16]
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 8 Specific Rules – Operating A Credit Rating Agency
COB 9 Additional Rules: Operating an Alternative Trading System
COB 10 Custody Providers Acting as a Central Securities Depository ("CSD")
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
Collective Investment Rules (CIR) [VER21/04-16]
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: [Deleted]
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 [Deleted]
CIR App 7 Public Fund Prospectus Disclosure
CIR App 8 Guidance for Hedge Fund Managers
Fees Module (FER) [VER12/04-16]
FER 1 Introduction
FER 2 Application Fees
FER 3 Periodic and other Fees
FER 4 Filing Fees
FER 5 Takeover Fees
General Module (GEN) [VER37/08-16]
GEN 1 Introduction
GEN 2 Financial Services
GEN 3 Financial Promotions
GEN 3 [Deleted]
GEN 4 Core Principles
GEN 5 Management, Systems and Controls
GEN 6 General Provisions
GEN 7 Authorisation
GEN 8 Accounting and Auditing
GEN 9 Complaints Handling and Dispute Resolution
GEN 10 Transitional Rules
GEN 11 Supervision
GEN 12 Business Transfer Schemes
GEN App1 Deposits
GEN App2 Investments
GEN App3 Best Practice Relating to Corporate Governance and Remuneration
GEN App4 Contracts of Insurance
GEN App5 Trade Repository
GEN App5 [Deleted]
GEN App6 [Deleted]
Glossary Module (GLO) [VER36/08-16]
GLO 1 Introduction
GLO 2 Glossary
Islamic Finance Rules (IFR) [VER10/04-16]
IFR 1 Introduction
IFR 2 Islamic Finance
IFR 3 General Obligations
IFR 4 Accounting and Auditing
IFR 5 Managing Profit Sharing Investment Accounts
IFR 6 Islamic Collective Investment Funds
IFR 7 Offers of Islamic Securities
IFR 8 Takaful Insurance
IFR App 1 Prospectus Disclosures for Islamic Funds
IFR App 2 Continuing Obligations
Markets Rules (MKT) [VER8/04-16]
MKT 1 Introduction
MKT 2 Offer of Securities
MKT 3 Governance of Reporting Entities
MKT 4 Market Disclosure
MKT 5 Accounting Periods and Financial Reports and Auditing
MKT 6 Listed Funds
MKT 7 Sponsors and Compliance Advisers
MKT 8 Systems and Controls
MKT 9 The Listing Rules
MKT 9A Market Abuse
MKT 10 Transitional Rules
MKT Schedule A
MKT App 1 Content of a Prospectus
MKT App 2 Market Disclosure
MKT App 3 Market Disclosure Relating to Listed Funds
MKT App 4 Corporate Governance Best Practice Standards
MKT App 5 List of Exempt Offerors
MKT App 6 Continuing Obligations — Security Specific Disclosures
Price Stabilisation Module (PRS) [VER6/04-16]
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) [VER14/06-14]
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) [VER25/08-16]
PIB 1 Application, Interpretation and Categorisation
PIB 2 General Requirements
PIB 3 Capital
PIB 4 Credit Risk
PIB 5 Market Risk
PIB 6 Operational Risk
PIB 7 Interest Rate Risk in the Non-Trading Book
PIB 8 Group Risk
PIB 9 Liquidity Risk
PIB 10 Supervisory Review and Evaluation Processes
PIB 11 Disclosure Requirements
PIB App1 Categories of Authorised Firms
PIB App2 General Requirements
PIB App3 Capital
PIB App4 Credit Risk
PIB App5 Market Risk
PIB App6 Calculating the Operational Risk Capital Requirement
PIB App7 Not Used
PIB App8 Not Used
PIB App9 Liquidity
PIB App10 Supervisory Review and Evaluation Processes
PIB App11 Public Disclosure Requirements
Recognition (REC) [VER10/08-16]
REC 1 Application of the Recognition Module
REC 2 Admission to the List of Recognised Persons
REC 3 General Provisions
REC 4 Removal from the List of Recognised Persons
REC 5 Transitional Provisions
Representative Office Module (REP) [VER8/08-16]
REP 1 Application
REP 2 Authorisation
REP 3 Core Principles
REP 4 General Provisions
REP 5 Regulatory Processes
REP 6 [Deleted]
REP APP1 [Deleted]
Takeover Rules Module (TKO) [VER7/02-16]
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)
Auditor Module (AUD)
Authorisation (AUT)
Authorised Market Institutions (AMI)
Collective Investment Rules (CIR)
Conduct of Business (COB)
Data Protection Module (DAT)
Designated Non-Financial Business and Professions Module (DNF) [VER1/06-11]
Enforcement (ENF)
Fees (FER)
General (GEN)
Glossary (GLO)
Islamic Finance Rules (IFR)
Islamic Financial Business Module (ISF)
Markets Rules (MKT)
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)