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Jul 5 2012 onwards

Suspending Securities from the Official List of Securities Guidance



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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.

Examples of circumstances that warrant the suspension by the DFSAG of SecuritiesG from the Official List of SecuritiesG include:

1. the Listed EntityG has failed to meet its continuing obligations for listing;
2. the Listed EntityG has failed to publish financial information in accordance with the Markets Rules;
3. the Listed EntityG is unable to assess accurately its financial position and inform the market accordingly;
4. there is insufficient publicly-available information in the market about a proposed transaction which involves the Listed EntityG or the relevant SecuritiesG ;
5. the Listed Entity'sG SecuritiesG have been suspended elsewhere;
6. the Listed EntityG has appointed administrators or receivers, or is an Investment TrustG or FundG and is winding up;
7. the relevant SecuritiesG are a securitised DerivativeG and any underlying instrument is suspended;
8. for a DerivativeG which carries a right to buy or subscribe for another SecurityG , the SecurityG over which the DerivativeG carries a right to buy or subscribe has been suspended; or
9. the DFSAG considers it is in the interests of the DIFCG , including the interests of investors, potential investors or the DIFCG capital markets.
Derived from RM81/2011 (Made 30th November 2011). [VER1/11-11]