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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
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases

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(1 version)
Jul 14 2013 onwards

AMI 2.1.1

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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) This chapter applies to a PersonG who intends to carry on either or both of the Financial ServicesG of Operating an ExchangeG or Operating a Clearing HouseG in or from the DIFCG .
(2) This chapter also applies to a PersonG referred to in (1), who intends to obtain an endorsement on its LicenceG to:
(a) carry on the Financial ServiceG of Operating an Alternative Trading SystemG to the extent that such activities constitute operating a Multilateral Trading FacilityG ; or
(b) act as a Trade RepositoryG .
(3) A PersonG who intends to carry on the Financial ServicesG and activities referred to in (1) and (2) is referred to in this chapter as an "applicant" unless the context otherwise provides.
(4) This chapter also applies to an Authorised Market InstitutionG applying to change the scope of its LicenceG , or where a condition or restriction has previously been imposed on its LicenceG , to have such a condition or restriction varied or withdrawn. Such an Authorised Market InstitutionG may be referred to as an "applicant" in this chapter.
Derived from RM118/2013 [VER15/07-13]