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Jul 14 2013 onwards

AMI 3.2.1 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. The Licensing RequirementsG are specified in chapters 5, 6 and 7 of Part 3 of this module. These include the general requirements applicable to all Authorised Market InstitutionsG (chapter 5), and the additional requirements applicable to specific types of activities of Authorised Market InstitutionsG (chapters 6 and 7).
2. Where an Authorised Market InstitutionG (or an applicant for a LicenceG ) seeks to obtain an endorsement on its LicenceG , additional requirements relevant to the type of endorsement need to be satisfied (see, for example, App 5 of GEN for the requirements relating to Trade RepositoriesG ).
3. Currently, the function of maintaining an Official List of SecuritiesG is performed by the DFSAG . However, the DFSAG has the power, pursuant to Article 29 of the Markets LawG , to grant an Authorised Market InstitutionG an endorsement on its LicenceG permitting it to maintain an Official List of SecuritiesG .
4. Section 3.6 of the RPP SourcebookG sets out the matters which the DFSAG takes into consideration when making an assessment under Rule 3.2.1.
Derived from RM118/2013 [VER15/07-13]