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Code of Market Conduct (CMC) [VER2/02-17]

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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.

Current version: effective from Feb 1 2017 - Jul 31 2017.
Amendments have been announced but are not yet effective. To view other versions open the versions tab on the right.


Contents:
CMC 1 Introduction
CMC 2 Market Manipulation and Fraud
CMC 2-1 Introduction
CMC 2-2 Market Manipulation
CMC 2-3 Perpetrating A Fraud on a Person
CMC 2-4 Defences
CMC 3 Dissemination of False or Misleading Information
CMC 4 Use of Fictitious Devices and Other Forms of Deception
CMC 5 False or Misleading Conduct and Distortion
CMC 6 Insider Dealing
CMC 6-1 Article 58 of the Markets Law
CMC 6-2 What is "Inside Information"?
CMC 6-3 Definition of "Insider"
CMC 6-4 Dealing "On The Basis Of" Inside Information
CMC 6-5 Attempting to Deal and Dealing in Related Investments
CMC 6-6 Examples of Insider Dealing
CMC 6-7 Defences
CMC 7 Providing Inside Information
CMC 7-1 Article 59 of the Markets Law
CMC 7-2 Disclosure of Inside Information
CMC 7-3 Procuring Another Person to Deal
CMC 7-4 Defences
CMC 8 Inducing Another Person to Deal
CMC 9 Misuse of Information
CMC 10 Specific Market Practices
CMC 11 Enforcement Powers