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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
Rulebook Modules
Glossary Module (GLO) [VER43/02-19]
GLO 2 Glossary
[ R ] [Rated—Rulebook]
Related Party
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DFSA Codes of Practice
Amendments to Legislation
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Financial Markets Tribunal
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Whole Section PDF

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.

To view past versions of this module in PDF format, please visit the Archive.

(1) In MKTG , has the meaning given to that term in MKT Rule 3.5.2(a) except in relation to a Rating SubjectG , where it has the meaning given to it in COB Rule 8.5.2(2).
(2) In CIRG , in relation to a FundG :
(a) its Fund ManagerG ;
(b) its Governing BodyG ;
(c) an individual director of a Corporate DirectorG ;
(d) its CustodianG ;
(e) its TrusteeG or other PersonsG providing oversight;
(f) any AdvisorG ;
(g) a holder of 5% or more of the UnitsG of the FundG ; or
(h) an AssociateG of a PersonG in (a) to (g).
(3) In CIR Rule 13.9.5, in relation to the ETF Fund ManagerG :
(a) a member of the Fund Manager's GroupG ;
(b) a ControllerG of the Fund ManagerG ;
(c) a director or senior officer of the Fund ManagerG or a family member of such director or senior officer; or
(d) a business associate of the Fund ManagerG or, of a person referred to in (c).
[Added] DFSA RM91/2012 (Made 14th June 2012). [VER26/06-12]
[Amended] DFSA RM104/2012 (Made 24th July 2012). [VER27/07-12]
[Amended] RM162/2015 (Made 9th December 2015). [VER34/02-16]
[Amended] DFSA RM221/2018 (Made 22nd February 2018). [VER42/12-18]