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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Recognised Jurisdictions and Funds
Declaration Notices
Financial Markets Tribunal
Rulebook Modules
Prudential — Investment, Insurance Intermediation and Banking Module (PIB) [VER34/12-19]
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases

Whole SectionText only Print Print Manager Link

(1 version)
Dec 9 2012 onwards

PIB 5.10.1 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. This section sets out a framework for calculating the amount of Capital RequirementG when an Authorised FirmG has commitments to underwrite an issue of SecuritiesG , and the associated risk management standards which an Authorised FirmG UnderwritingG SecuritiesG must meet.
2. UnderwritingG is defined in the Glossary as an arrangement under which a party agrees to buy, before issue, a specified quantity of SecuritiesG in an issue of SecuritiesG on a given date and at a given price, if no other party has purchased or acquired them.
Derived from RM111/2012 (Made 15th October 2012). [VER20/12-12]