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  Versions
(1 version)
 
Jul 5 2012 onwards

MKT 3.4.4



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.

The prohibition in Rule 3.4.2(1) does not apply in relation to any dealing in SecuritiesG in the Reporting EntityG if such dealing by the Restricted PersonG relates to:

(a) undertakings or elections to take up, or the taking up of, an entitlement under a rights issue or dividend reinvestment offer, or allowing such an entitlement or offer to lapse;
(b) undertakings to accept, or the acceptance of, a Takeover Offer under Takeover Rules;
(c) dealings where the beneficial interest in the relevant SecurityG does not change;
(d) transactions between the Restricted PersonG and an AssociateG of such a PersonG ; or
(e) transactions relating to dealings in an EmployeeG ShareG Scheme in accordance with the terms of such a scheme.
Derived from RM81/2011 (Made 30th November 2011). [VER1/11-11]