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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
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  Versions
(1 version)
 
Jul 14 2013 onwards

Part 4 Other 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 8 Controllers
AMI 8.1 Application
AMI 8.2 Changes Relating to Control
AMI 9 Supervision of Authorised Market Institutions
AMI 9.1 Application
AMI 9.2 Relations with Regulators and the Risk Based Approach
AMI 9.3 Notifications
AMI 9.4 Key Individuals
AMI 9.5 Constitution and Governance
AMI 9.6 Financial and Other Information
AMI 9.7 Complaints
AMI 9.8 Notification
AMI 9.9 Information Technology Systems
AMI 9.10 Investigations and Disciplinary Action
AMI 9.11 Supervisory Directions
AMI 9.12 Reports
AMI 9.13 Listing Directions
AMI 9.14 Public Disclosures of Decisions in Relation to an Official List of Securities of an Authorised Market Institution
AMI 10 Withdrawal of a Licence
AMI 10.1 Application
AMI 10.2 Withdrawal of a Licence at an Authorised Market Institution's request
AMI 10.3 Withdrawal of a Licence on the DFSA's Initiative
AMI 11 Appeals from Authorised Market Institution Decisions
AMI 11.1 Application
AMI 12 Transition and Saving
AMI 12.1 Transitional Rule for Key Individuals
AMI 12.2 [Deleted]
AMI 12.3 Saving Rules