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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Rulebook Modules
General Module (GEN) [VER44/07-19]
GEN 2 Financial Services
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Financial Markets Tribunal

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(1 version)
Jul 14 2013 onwards

GEN 2.2.13 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.

1. Maintaining a Trade RepositoryG is not a separately licensed Financial ServiceG , but may be carried on by an Authorised PersonG which has on its LicenceG an endorsement permitting it to do so. An Authorised PersonG maintaining a Trade RepositoryG is subject to some specific requirements relating to that activity, which are set out in App 5.
2. The functions of a Trade RepositoryG promote increased transparency and integrity of information, particularly for centrally clearing over-the-counter derivatives. Currently there are no transaction reporting requirements in the DIFCG which require reporting to Trade RepositoriesG .
3. An Authorised PersonG does not carry on the activities of a Trade RepositoryG to the extent that it maintains records of transactions pursuant to the record keeping requirements applicable to that firm (such as those relating to transactions carried out on behalf of its ClientsG by an Authorised FirmG , or transactions carried out on the facilities of an Authorised Market InstitutionG ).
[Added] DFSA RM119/2013 (Made 14th July 2013). [VER33/07-13]