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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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(1 version)
Jul 14 2013 onwards

AMI 5.11.3

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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.

(1) An Authorised Market InstitutionG must:
(a) before accepting a prospective MemberG , ensure that the applicant has in place adequate arrangements including systems and controls to comply with the Authorised Market InstitutionG 's regime for preventing Market AbuseG , money laundering and financial crime referred to in Rule 5.11.2(2)(a);
(b) monitor and regularly review compliance by its MembersG with that regime; and
(c) take appropriate measures to ensure that its MembersG rectify any contraventions without delay.
(2) An Authorised Market InstitutionG must promptly notify the DFSAG of any:
(a) material breach of its regime by a MemberG ; and
(b) circumstances in which a MemberG will not or cannot rectify a breach of its regime.
Derived from RM118/2013 [VER15/07-13]