Home   Browse contents   View updates   Search  
     Quick search
Go
   

Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
Recognised Jurisdictions and Funds
Declaration Notices
Financial Markets Tribunal
Archive
Rulebook Modules
Markets Rules (MKT) [VER15/07-19]
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Notices

Whole SectionText only Print Print Manager Link


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

MKT 3.4.1 Guidance



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. PersonsG are considered as involved in the senior management if they are in a position of authority and influence in making management or executive decisions with regard to the day-to-day management of the business of the Reporting EntityG . Some members of the BoardG , such as executive DirectorsG , will be subject to the requirements in this section because they undertake managerial functions and responsibilities relating to the day-to-day management of the Reporting EntityG .
2. Chapter 6 contains requirements applicable to Reporting EntitiesG of Listed FundsG .
Derived from RM81/2011 (Made 30th November 2011). [VER1/11-11]
[Amended] DFSA RM120/2013 (Made 14th July 2013). [VER4/07-13]