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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Rulebook Modules
Conduct of Business Module (COB) [VER32/02-19]
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

COB 9 Additional Rules: Operating an Alternative Trading System

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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.

COB 9.1 Application and interpretation
COB 9.1.1
COB 9.1.2
COB 9.2 Main requirements relating to trading on the facility
COB 9.2.1
Operating Rules
Material changes to Current Arrangements
COB 9.3 Member access criteria
COB 9.3.1
Direct electronic access
Monitoring of compliance
COB 9.4 Investment criteria
COB 9.4.1
Use of price information providers
COB 9.5 Technology resources
COB 9.5.1
Regular review of systems and controls
COB 9.6 Proper Markets
COB 9.6.1
Pre-trade transparency
Post-trade transparency requirements
Volatility controls
Error Trade policy
Short Selling
Foreign ownership restrictions
Liquidity providers
Prevention of Market Abuse
Clearing and settlement arrangements
COB 9.7 Specific requirements applicable to Persons operating an OTF
COB 9.7.1