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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
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
Media Releases
Financial Markets Tribunal

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(2 versions)
Jul 14 2013 - Jan 31 2017Feb 1 2017 onwards

AMI 5.11.2 Guidance

Whole Section PDF

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. Abusive, improper and fraudulent purposes include:
a. trades intended to create a false appearance of trading activity;
b trades which one party does not intend to close out or settle;
c. conduct which is likely to result in disorderly trading in the market; and
d. any contravention of the provisions in Part 6: Prevention of Market AbuseG in the Markets LawG .
2. An Authorised Market InstitutionG must have an effective surveillance system in place for:
a. the coordinated surveillance of all activity on or through its facilities and activity in related Investments conducted elsewhere; and
b. communicating information about Market AbuseG and financial crime to the DFSAG or appropriate regulatory authorities.
Derived from RM118/2013 [VER15/07-13]
[Amended] RM193/2016 (Made 7th December 2016). [VER18/02-17]