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Dubai Financial Services Authority (DFSA): Contents

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Jul 14 2013 onwards

Part 3 Licensing Requirements

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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.


Contents:
AMI 4 General
AMI 4.1 Application
AMI 4.2 Licensing Requirements
AMI 4.3 Approval of Material Changes
AMI 4.4 Definition of Regulatory Functions
AMI 5 General Licensing Requirements Applicable to all Authorised Market Institutions
AMI 5.1 Application
AMI 5.2 Organisational Requirements
AMI 5.3 Licensed Functions and Key Individuals
AMI 5.4 Conflicts of Interests
AMI 5.5 Operational Efficiency and Resilience
AMI 5.6 Business Rules
AMI 5.7 Access to Facilities
AMI 5.8 Admission of Investments to Trading or Clearing
AMI 5.9 Integrity and Transparency
AMI 5.10 Safeguarding and Administration of Assets
AMI 5.11 Promotion and Maintenance of Standards
AMI 5.12 Miscellaneous Requirements
AMI 6 Additional Licensing Requirements for Operating an Exchange
AMI 6.1 Application
AMI 6.2 Proper Markets
AMI 6.3 Specifications Relating to Design and Trading of Derivatives
AMI 6.4 Transparency and Disclosure
AMI 6.5 Volatility Controls
AMI 6.6 Error Trade Policy
AMI 6.7 Short Selling and Position Management
AMI 6.8 Foreign Ownership Restrictions
AMI 6.9 Liquidity Incentive Schemes
AMI 6.10 Clearing and Settlement Arrangements
AMI 6.11 Listing Rules
AMI 7 Additional Licensing Requirements for Operating a Clearing House
AMI 7.1 Application
AMI 7.2 Risk Management
AMI 7.3 Additional Requirements for a CCP
AMI 7.4 Additional Requirements for a CSD