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Dubai Financial Services Authority (DFSA): Contents

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  Versions
(2 versions)
 
Jul 5 2012 - Jul 13 2013Jul 14 2013 onwards

MKT 2.6.1



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) For the purposes of Article 14(2) of the Law, a PersonG intending to make a Prospectus OfferG ("the applicant") must, subject to (2), (3) and (4), submit to the DFSAG :
(a) a completed application using the appropriate form set out in AFN and the relevant fee prescribed in FER;
(b) a ProspectusG that meets the requirements in section 2.5;
(c) a statement identifying where in the ProspectusG the information required in the relevant paragraphs of App1 has been included and, where subsequent drafts or versions of the ProspectusG are submitted, a marked-up version showing the changes from the previous version submitted to the DFSAG ;
(d) if information is incorporated in the ProspectusG by reference to another document, a copy of the information;
(e) the identity of the PersonG who is or intends to be the Reporting EntityG ;
(f) contact details of two individuals who are sufficiently knowledgeable about the content of the ProspectusG to be able to answer queries of the DFSAG during business hours; and
(g) any other information that the DFSAG may require.
(2) The application in (1) must be submitted to the DFSAG :
(a) in the case of an applicant who has not made a previous Prospectus OfferG , at least 20 business days prior to the intended date on which the applicant expects the ProspectusG to be approved;
(b) in other cases, at least 10 business days prior to the date on which the applicant expects the ProspectusG to be approved; and
(c) in the case of a Supplementary ProspectusG , as soon as reasonably possible.
(3) If the ProspectusG comprises multiple documents, the application for approval must be made using the appropriate form in AFN in relation to one or more of those separate documents.
(4) In the case of a Supplementary ProspectusG , the application for approval must:
(a) be made using the appropriate form in AFN;
(b) accompanied by the relevant fee prescribed in FER; and
(c) comply with the requirements in Rule 2.9.1.
Derived from RM81/2011 (Made 30th November 2011). [VER1/11-11]
[Amended] DFSA RM120/2013 (Made 14th July 2013). [VER4/07-13]