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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
Rulebook Modules
Authorised Market Institutions (AMI) [VER18/02-17]
Part 3 Licensing Requirements
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
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Financial Markets Tribunal
Archive

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Jul 14 2013 onwards

AMI 5.6.3

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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.

An Authorised Market InstitutionG must have adequate compliance procedures in place to ensure that:

(a) its Business RulesG are monitored and enforced;
(b) any complaints relating to its operations or regarding MembersG and other participants on its facilities are promptly investigated;
(c) where appropriate, disciplinary action resulting in financial and other types of penalties can be taken;
(d) appeal procedures are in place; and
(e) referrals can be made to the DFSAG in appropriate circumstances.
Derived from RM118/2013 [VER15/07-13]