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Dubai Financial Services Authority (DFSA): Contents

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Jul 5 2012 - Aug 20 2014Aug 21 2014 onwards

MKT 9.5 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.

Determination of applications

1. Under Article 33(1) of the Law, an Authorised Market InstitutionG or the DFSAG may only grant admission of SecuritiesG to an Official List of SecuritiesG maintained by it, in accordance with the requirements in the Law and the Rules made for the purposes of the Law.
2. Under Article 34(1)(b) and 34(2)(b) of the Law, the DFSAG may impose conditions or restrictions in respect of the admission of SecuritiesG to the Official List of SecuritiesG , or vary or withdraw such conditions or restrictions.
3. Under Article 33(2) of the Law, an Authorised Market InstitutionG or the DFSAG , as is relevant, will notify the applicant in writing of its decision in relation to the application for admission of SecuritiesG to the Official List of SecuritiesG .
4. Where the DFSAG grants admission of SecuritiesG to an Official List of SecuritiesG , it will include such PersonG in its Official List of SecuritiesG published on the DFSAG website.

References

5. Under Article 34(7) of the Law, an ApplicantG may commence a reference to the FMTG in relation to any decision by the DFSAG to object to or refuse an application for admission of SecuritiesG to the Official List of SecuritiesG , or to impose conditions or restriction on the admission of Securities to the Official List of Securities, or to vary such conditions or restrictions.
6. Under Article 29 of the Regulatory Law, a PersonG that commences a reference to the FMTG must do so within 30 days of the relevant decision.
7. The form of submission that a reference must take is specified in the rules of procedure of the FMTG .
Derived from RM81/2011 (Made 30th November 2011). [VER1/11-11]
[Amended] DFSA RM134/2014 (Made 21st August 2014). [VER5/06-14]