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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
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Jul 14 2013 onwards

AMI 5.11.1

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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.

An Authorised Market InstitutionG must have an effective market surveillance program to:

(a) ensure that business conducted on or through its facilities is conducted in an orderly manner and in accordance with the applicable Business RulesG and other applicable requirements so as to afford proper protection to investors; and
(b) monitor for conduct which may amount to Market AbuseG , financial crime or money laundering.
Derived from RM118/2013 [VER15/07-13]