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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Recognised Jurisdictions and Funds
Declaration Notices
Financial Markets Tribunal
Rulebook Modules
Conduct of Business Module (COB) [VER34/01-20]
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases

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(1 version)
Jul 14 2013 onwards

COB 9.6.7

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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 ATS OperatorG must not permit its facility to be used for trading InvestmentsG which are subject to foreign ownership restrictions unless it has adequate and effective arrangements to:

(a) monitor applicable foreign ownership restrictions;
(b) promptly identify and take appropriate action where any breaches of such restrictions occur without any undue interruption or negative impact to its trading activities; and
(c) suspend trading in the relevant InvestmentsG where the ownership restrictions are, or are about to be, breached and reinstate trading when the breaches are remedied.
[Added] DFSA RM123/2013 (Made 13th June 2013) [VER22/07-13]