Home   Browse contents   View updates   Search  
     Quick search

Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Rulebook Modules
Conduct of Business Module (COB) [VER33/07-19]
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Financial Markets Tribunal

Whole SectionText only Print Print Manager Link

(1 version)
Jul 14 2013 onwards

COB 9.4.1

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.

An ATS OperatorG must ensure in respect of every InvestmentG traded on its facility that:

(a) only Investments which meet the requirements in (i) or (ii) are permitted to be traded on its facility:
(i) in the case of SecuritiesG , only SecuritiesG which are admitted to trading on an Authorised Market InstitutionG or other Regulated ExchangeG ; or
(ii) in the case of DerivativesG , only instruments that meet the contract specification criteria set out in AMI Rule 6.3.2;
(b) there is sufficient information relating to the InvestmentsG traded on the facility available to members and other PersonsG having access to the facility through such members to enable such PersonsG to make informed decisions relating to such InvestmentsG ; and
(c) if it is an InvestmentG that references to an underlying benchmark or index provided by a Price Information ProviderG , the requirements in Rule 9.4.2 are met.
[Added] DFSA RM123/2013 (Made 13th June 2013) [VER22/07-13]