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Markets Rules (MKT) [VER10/08-17]

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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.


Contents:
MKT 1 Introduction
MKT 1.1 Application
MKT 1.2 Overview of the Module
MKT 1.3 General
MKT 1.4 Interpreting the Rulebook
MKT 1.5 Complaints Against the DFSA
MKT 2 Offer of Securities
MKT 2.1 Application
MKT 2.2 Exempt Communications
MKT 2.3 Exempt Offers
MKT 2.4 Exempt Securities
MKT 2.5 Prospectus Structure and Content
MKT 2.6 Approval and Publication of a Prospectus
MKT 2.7 Offer Documents from Other Jurisdictions
MKT 2.8 Incorporation by Reference
MKT 2.9 Notification of Material Changes During the Currency of the Prospectus
MKT 2.10 Prospectus Liability
MKT 2.11 Exceptions from Liability
MKT 2.12 Financial Promotions
MKT 2.13 Miscellaneous
MKT 3 Governance of Reporting Entities
MKT 3 Guidance
MKT 3.1 Application
MKT 3.2 Corporate Governance Principles
MKT 3.3 Directors Duties and Fair Treatment of Shareholders
MKT 3.4 Dealings by Restricted Persons
MKT 3.5 Related Party Transactions
MKT 4 Market Disclosure
MKT 4.1 Application
MKT 4.2 Disclosure of Inside Information
MKT 4.3 Disclosure of Interests by Connected Persons
MKT 4.4 Disclosure of Directors' Material Interests
MKT 4.5 Power to Direct Disclosure
MKT 4.6 Other Matters that Require Market Disclosure
MKT 4.7 Manner of Market Disclosure
MKT 5 Accounting Periods and Financial Reports and Auditing
MKT 5 Guidance
MKT 5.1 Application
MKT 5.2 Application in respect of a public listed company
MKT 6 Listed Funds
MKT 6.1 Application
MKT 6.2 General Requirements
MKT 6.3 Prospectus Requirements Relating to a Listed Fund
MKT 6.4 Governance Requirements Relating to a Listed Fund
MKT 6.5 Market Disclosure Relating to a Listed Fund
MKT 6.6 Disclosure of Interests by Connected Persons of Listed Funds
MKT 6.7 Disclosure of Material Interests
MKT 6.8 Other Matters that Require Market Disclosure
MKT 6.9 Accounting Periods and Financial Reports of Listed Funds
MKT 6.10 Manner of Market Disclosure
MKT 6.11 DFSA Power to Direct Disclosure
MKT 7 Sponsors and Compliance Advisers
MKT 7.1 Sponsors
MKT 7.2 Compliance Advisers
MKT 8 Systems and Controls
MKT 8.1 Application
MKT 9 The Listing Rules
MKT 9.1 Application
MKT 9.2 The Listing Principles
MKT 9.3 General Eligibility Requirements
MKT 9.4 Application for Admission to the List
MKT 9.5 Determination of applications and references
MKT 9.6 Suspending, Delisting and Restoring a Listing
MKT 9.7 Continuing Obligations
MKT 9.8 Provision of Information to the DFSA
MKT 9A Market Abuse
Application of the Code of Market Conduct
MKT 10 Transitional Rules
MKT 10.1 Application
MKT Schedule A
MKT App 1 Content of a Prospectus
MKT A1.1 Registration Statement
MKT A1.2 Securities Note
MKT App 2 Market Disclosure
MKT A2.1.1
MKT A2.1.2
MKT App 3 Market Disclosure Relating to Listed Funds
MKT A3.1.1
MKT A3.1.2
MKT App 4 Corporate Governance Best Practice Standards
MKT App 5 List of Exempt Offerors
MKT A5.1 List of Exempt Offerors
MKT App 6 Continuing Obligations — Security Specific Disclosures
MKT A6.1 Continuing Obligations — Market Disclosures for Listed Entities
MKT A6.2 Other Continuing Obligations for Listed Entities