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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
Rulebook Modules
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
2007
Notices
Financial Markets Tribunal
Archive

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2007

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Contents:
17 December 2007 — DFSA Licenses Assicurazioni Generali S.p.A as an Authorised Firm
16 December 2007 — DFSA Licenses Toscafund Global Limited as an Authorised Firm
16 December 2007 — DFSA Licenses Wedge Alternatives Limited as an Authorised Firm
13 December 2007 — EPRS Notification
13 December 2007 — DFSA Licenses SinoGulf (DIFC) Limited as an Authorised Firm
11 December 2007 — DFSA Issues its Hedge Fund Code of Practice
11 December 2007 — Notice of Amendments to the Rulebook and the Sourcebook
09 December 2007 — DFSA Licenses ING Investment Management (Dubai) Limited as an Authorised Firm
06 December 2007 — DFSA Licenses Waqf Trust Services Limited as an Authorised Firm
05 December 2007 — DFSA Licenses Société Générale Bank & Trust as an Authorised Firm
05 December 2007 — DFSA Licenses Societe Generale as an Authorised Firm
04 December 2007 — DFSA Releases Key Policy Review Consultation Paper
29 November 2007 — Notice of Amendments to the Rulebook
29 November 2007 — DFSA Hosts International Regulators
27 November 2007 — DFSA Licenses MAC Capital Limited as an Authorised Firm
27 November 2007 — DFSA Licenses ES Bankers (Dubai) Limited as an Authorised Firm
27 November 2007 — DFSA Licenses Menafactors Limited as an Authorised Firm
21 November 2007 — DFSA bans private bankers for mis-selling investments
18 November 2007 — DFSA’s Securities Regulation Receives Highly Positive IMF-World Bank Assessment
18 November 2007 — DFSA Licenses Gulf National Securities Centre International Limited as an Authorised Firm
15 November 2007 — DFSA Licenses 200th Regulated Firm within DIFC
14 November 2007 — DFSA Wins Best Regulator Award
12 November 2007 — DFSA Licenses Antarctica Asset Management (Middle East) Limited as an Authorised Firm
12 November 2007 — DFSA and Financial Services Agency of Japan agree terms of co-operation
11 November 2007 — DFSA registers Lawrence Graham LLP as an Ancillary Service Provider
08 November 2007 — DFSA Licenses HSBC Middle East Leasing Partnership as an Authorised Firm
06 November 2007 — DFSA Licenses Tokio Marine Middle East Limited as an Authorised Firm
05 November 2007 — DFSA registers Patton Boggs LLP as an Ancillary Service Provider
04 November 2007 — DFSA registers Brandford-Griffith & Associés as an Ancillary Service Provider
04 November 2007 — DFSA registers Gibson, Dunn & Crutcher LLP as an Ancillary Service Provider
28 October 2007 — DFSA Licenses GAM (Dubai) Limited as an Authorised Firm
23 October 2007 — DFSA enters into Memorandum of Understanding with United States Banking Supervisors
18 October 2007 — DFSA Licenses Daman Quattro Limited as an Authorised Firm
10 October 2007 — DFSA Licenses HDG Mansur (Dubai) Limited as an Authorised Firm
27 September 2007 — DFSA registers Allied Gulf Lawyers Limited Liability Partnership as an Ancillary Service Provider
27 September 2007 — DFSA Licenses Kaupthing Bank hf. as an Authorised Firm
27 September 2007 — DFSA Licenses Makaseb Islamic Capital Limited as an Authorised Firm
25 September 2007 — DFSA Licenses Fimat International Banque SA (Dubai Branch) as an Authorised Firm
25 September 2007 — DFSA Licenses Flagstone Underwriters Middle East Limited as an Authorised Firm
25 September 2007 — DFSA registers Dixon & Co. Limited Liability Partnership as an Ancillary Service Provider
24 September 2007 — DFSA enters into Memorandum of Understanding with China’s Banking Regulator
18 September 2007 — Results of AML/CTF theme review
15 September 2007 — DFSA enters into Memorandum of Understanding with Capital Market Commission of Greece
13 September 2007 — DFSA Licenses Leebrook Global Investments Limited as an Authorised Firm
11 September 2007 — Notice of Amendments to the Sourcebook and Rulebook
06 September 2007 — DFSA Licenses T & F Tax and Finance (DIFC) Limited as an Authorised Firm
03 September 2007 — DFSA Licenses Commerzbank AG as an Authorised Firm
02 September 2007 — DFSA Licenses The Bank of Tokyo Mitsubishi UFJ, Ltd. as an Authorised Firm
30 August 2007 — DFSA Licenses Gilford Securities Incorporated as an Authorised Firm
27 August 2007 — DFSA withdraws License from Forsyth Companies
22 August 2007 — DFSA enters into new co-operative arrangements with banking regulators in Jordan and Turkey
22 August 2007 — DFSA Issues 'Show Cause' Notice to Forsyth Partners Global Distributors Limited
12 August 2007 — Alert — Bill Parker Agency
09 August 2007 — DFSA Licenses Guggenheim Capital Markets, LLC as an Authorised Firm
06 August 2007 — DFSA enters into Memoranda of Understanding with counterpart in Iceland
02 August 2007 — DFSA Licenses Rasmala CBD Asset Management Limited as an Authorised Firm
02 August 2007 — DFSA Licenses Louvre Fund Advisors (Middle East) Limited as an Authorised Firm
31 July 2007 — DFSA Accepts Enforceable Undertaking
25 July 2007 — DFSA Licenses Tabarak Partners LLP as an Authorised Firm
23 July 2007 — Notice of new forms for existing Authorised Firms
12 July 2007 — DFSA Licenses Pioneer Investcorp International Limited as an Authorised Firm
11 July 2007 — DFSA Licenses Alliance Specialty Underwriters Limited as an Authorised Firm
09 July 2007 — Notice of Consultation Paper
04 July 2007 — DFSA releases draft Hedge Fund Code
04 July 2007 — DFSA releases draft Hedge Fund Code
03 July 2007 — Notice of Consultation Papers
28 June 2007 — DFSA Enforcement Alert — Fraudulent Documents
28 June 2007 — Notice of Rule and Guidance Amendments
28 June 2007 — Notice of Consultation Paper
24 June 2007 — DFSA Licenses Mizuho Corporate Bank, Ltd. as an Authorised Firm
18 June 2007 — DFSA Licenses Gulf Fund Management Limited as an Authorised Firm
13 June 2007 — DFSA Registers Denton Wilde Sapte & Co as an Ancillary Service Provider
13 June 2007 — DFSA Registers Simmons & Simmons as an Ancillary Service Provider
10 June 2007 — Senior Appointments at the DFSA
30 May 2007 — Notice of Rule Amendments
27 May 2007 — DFSA Licenses CALYON as an Authorised Firm
24 May 2007 — DFSA licenses ARQAAM CAPITAL LIMITED as an Authorised Firm
22 May 2007 — DFSA Licenses elseco limited as an Authorised Firm
18 May 2007 — DFSA Licenses GFS Investments (Middle East) Limited as an Authorised Firm
16 May 2007 — David Knott, DFSA Chief Executive, Speech at the IFSB Submit
10 May 2007 — Notice of Rule Amendments
10 May 2007 — Victorian Treasurer Visits DIFC
09 May 2007 — DFSA Registers Lovells (Middle East) LLP as an Ancillary Service Provider
09 May 2007 — Consultation Paper No.46 issued for public comment
07 May 2007 — Mr. Abdulla Saleh succeeds Dr. Habib Al Mulla as DFSA Chairman
06 May 2007 — DFSA Licenses Alternative Investment Strategies Management (Dubai) Limited as an Authorised Firm
03 May 2007 — DFSA Obtains Final Orders in Dubai Options Exchange Matter
03 May 2007 — DFSA Obtains Final Orders in Dubai Options Exchange Matter
02 May 2007 — DFSA enters into Memoranda of Understanding with Counterparts in Switzerland and Luxembourg
30 April 2007 — UN Security Council Resolutions and sanctions: Al-Qaida and Taliban
26 April 2007 — DFSA Licenses DME and Recognises NYMEX as Clearing House
20 April 2007 — DFSA Licenses Wallich & Matthes (Dubai) Limited as an Authorised firm
18 April 2007 — DFSA Again Warns Investors Against Unlicensed Investment Website Operations
16 April 2007 — Dr. Habib Al Mulla Chairman Calls for Effective Trade and Professional Bodies to Develop Standards for Professionals and Firms
12 April 2007 — DFSA Licenses Daiwa Securities SMBC Europe Limited as an Authorised firm
11 April 2007 — DFSA Licenses VP Wealth Management (Middle East) Limited as an Authorised Firm
10 April 2007 — DFSA Obtains Interim Injunctions to Stop Internet Fraud
10 April 2007 — DFSA Obtains Interim Injunctions to Stop Internet Fraud
05 April 2007 — DFSA Licenses AIG Global Investment Corp (Middle East) Limited as an Authorised Firm
03 April 2007 — DFSA Receives Award for Innovations in Islamic Finance
02 April 2007 — DFSA Licenses Killik & Co as an Authorised firm
02 April 2007 — DFSA Licenses UTI Bank Limited as an Authorised firm
30 March 2007 — DFSA Licenses Daman Securities International Limited as an Authorised firm
28 March 2007 — DFSA Consults on Insurance Rules
27 March 2007 — DFSA enters into Memorandum of Understanding with Bank Negara Malaysia
27 March 2007 — DFSA enters into mutual recognition agreement with Malaysian Securities Commission to facilitate cross-border flows of Islamic Investment Funds
26 March 2007 — DFSA Chairman Calls On All Markets To Draw On Success Of Major Financial Centres To Boost Shareholder Confidence
22 March 2007 — DFSA grants recognition to Eurex Frankfurt AG
21 March 2007 — DFSA Licenses Al Arabi Capital Limited as an Authorised firm
21 March 2007 — Consultation Paper 44 issued for public comment
19 March 2007 — DFSA Licenses Lancashire Marketing Services (Middle East) Limited as an Authorised Firm
16 March 2007 — DFSA enters into Memorandum of Understanding with Guernsey Financial Services Commission
07 March 2007 — Consultation Paper No.45 Issued for Public Comment
07 March 2007 — DFSA Enters into Memorandum of Understanding with Netherlands Financial Markets Authority
01 March 2007 — DFSA Licenses Unicontrol Commodity Finance Limited as an Authorised Firm
26 February 2007 — DFSA Licenses MIF (Middle East) Limited as an Authorised Firm
26 February 2007 — DFSA signs MoU with New Zealand Securities Commission
25 February 2007 — Enforcement alert — Internet Fraud Warning
19 February 2007 — DFSA Licenses Commander Asset Management Limited as an Authorised Firm
18 February 2007 — Malaysian Arrests Follow DFSA Internet Investigation
15 February 2007 — Dubai Financial Services Authority (DFSA) busts internet fraud
14 February 2007 — DFSA Licenses Goodhealth Worldwide Limited as an Authorised Firm
13 February 2007 — Notice of Rule Amendments — Definition of Day
13 February 2007 — DFSA Welcomes Leading Insurance Regulators to Dubai
07 February 2007 — DFSA Licenses Tufton Oceanic (Middle East) Limited as an Authorised Firm
07 February 2007 — DFSA Registers Moore Stephens Chartered Accountants as an Auditor
06 February 2007 — DFSA Registers Russell Bedford (Dubai) Limited as an Auditor
05 February 2007 — DFSA Licenses Convergence Capital Limited as an Authorised firm
01 February 2007 — DFSA Registers Herbert Smith LLP as an Ancillary Service Provider
01 February 2007 — DFSA Registers King & Spalding LLP as an Ancillary Service Provider
29 January 2007 — DFSA Registers Ashok Kapur & Associates Limited as an Auditor
24 January 2007 — Amended — DFSA Rulebook
17 January 2007 — DFSA Registers Grant Thornton Limited Liability Partnership as an Auditor
17 January 2007 — DFSA Registers AGN MAK Limited as an Auditor
15 January 2007 — Senior Appointment at Dubai Financial Services Authority (DFSA)
14 January 2007 — DFSA Licenses Merrill Lynch International as an Authorised Firm
14 January 2007 — Dubai Financial Services Authority (DFSA) Obtains Final Court Orders Against Patrick Lochrie and David Carruthers
12 January 2007 — DFSA Licenses E*TRADE Securities Limited as an Authorised Firm
10 January 2007 — Consultation Paper 42 issued for public comment
09 January 2007 — DFSA Licenses Lucros Capital Advisors Limited as an authorised firm
09 January 2007 — DFSA Licenses Duke Equity Limited as an Authorised Firm
04 January 2007 — DFSA Licenses Allianz SE (Dubai Branch) as an Authorized Firm