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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
Rulebook Modules
Prudential — Investment, Insurance Intermediation and Banking Module (PIB) [VER33/02-19]
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  Versions
(1 version)
 
Dec 9 2012 onwards

PIB 5.10.3



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) An Authorised FirmG must calculate a Securities Underwriting Capital RequirementG if it has a commitment to underwrite or sub-underwrite an issue of SecuritiesG .
(2) An Authorised FirmG has a commitment to underwrite or sub-underwrite an issue of SecuritiesG where:
(a) it gives a commitment to an IssuerG of SecuritiesG to underwrite an issue of SecuritiesG ;
(b) it gives a commitment to sub-underwrite an issue of SecuritiesG ; or
(c) it is a member of a syndicate or GroupG that gives a commitment to an IssuerG to underwrite an issue of SecuritiesG or a commitment to sub-underwrite an issue of SecuritiesG .
Derived from RM111/2012 (Made 15th October 2012). [VER20/12-12]