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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
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Authorised Market Institutions (AMI)
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Financial Markets Tribunal
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  Versions
(1 version)
 
Up to Jul 13 2013

AMI 7 Licensing Requirements

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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.

Past version: effective up to Jul 13 2013.
To view other versions open the versions tab on the right.


Contents:
AMI 7.1 Application
AMI 7.1.1
AMI 7.2 Licensing requirements
AMI 7.2 Guidance
AMI 7.2.1
Fit and proper — constitution, regulation and governance
Proper markets
Financial resources
Human and technology resources
Systems and controls
Members' access to facilities
General safeguards for investors
Market misconduct, financial crime and money laundering
Promotion and maintenance of standards
Whistleblowing
Clearing and settlement
Transaction recording
Safeguarding and administration of assets
Business rules
Compliance with business rules
Amendments to business rules
Default rules
Complaints
Official list of securities [Deleted]
Compliance with listing rules [Deleted]