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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Rulebook Modules
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Financial Markets Tribunal

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(1 version)
Up to Jul 13 2013

Authorised Market Institutions (AMI) [VER14/07-12]

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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.

Past version: effective up to Jul 13 2013.
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AMI 1 Introduction
AMI 1.1 Application
AMI 1.2 Financial Services, ancillary services, official lists of securities and Authorised Market Institutions
AMI 2 Application for a Licence
AMI 2.1 Application
AMI 2.2 Licence application
AMI 3 Application to Change the Scope of a Licence
AMI 3.1 Application
AMI 4 Not Currently in Use
AMI 4.1 [Deleted]
AMI 5 Withdrawal of a Licence
AMI 5.1 Application
AMI 5.2 Withdrawal of a licence at an Authorised Market Institution's request
AMI 5.3 Withdrawal of a licence on the DFSA's initiative
AMI 6 Controllers
AMI 6.1 Application
AMI 6.2 Changes relating to control
AMI 6.3 [Deleted]
AMI 7 Licensing Requirements
AMI 7.1 Application
AMI 7.2 Licensing requirements
AMI 8 Listing Rules
AMI 8.1 Application
AMI 8.2 General requirements relating to listing rules
AMI 8.3 Admission to an Official List of Securities
AMI 9 Ongoing Obligations of an Authorised Market Institution
AMI 9.1 Application
AMI 9.2 General obligations
AMI 9.3 Reports
AMI 9 Amendments to Business Rules and Listing Rules [Deleted]
AMI 9.1 Application [Deleted]
AMI 9.2 Amendments [Deleted]
AMI 10 Supervision of Authorised Market Institutions
AMI 10.1 Application
AMI 10.2 Relations with regulators and the risk based approach
AMI 10.3 Notifications
AMI 10.4 Key individuals and regulatory functions
AMI 10.5 Constitution and governance
AMI 10.6 Financial and other information
AMI 10.7 Complaints
AMI 10.8 Notification in respect of trading [Deleted]
AMI 10.8 Notifications
AMI 10.9 Information technology systems
AMI 10.10 Investigations and disciplinary action
AMI 10.11 Supervisory directions
AMI 10.12 Listing directions
AMI 10.13 Public disclosures of decisions in relation to an Official List of Securities
AMI 11 Anti Money Laundering Rules for Authorised Market Institutions
AMI 11.1 U.A.E. federal law
AMI 11.2 Application
AMI 11.3 Purpose
AMI 11.4 General requirements
AMI 11.5 Co-operation with regulators
AMI 11.6 Appointment, responsibilities and duties of the MLRO
AMI 11.7 Member identification requirements
AMI 11.8 Internal and external reporting requirements
AMI 11.9 Government, regulatory and international findings
AMI 11.10 Money laundering risks
AMI 11.11 Transfer of funds
AMI 11.12 Awareness and training
AMI 12 [Deleted]
AMI 12.1 [Deleted]
AMI 13 [Deleted]
AMI 13.1 [Deleted]
AMI 13.2 [Deleted]
AMI 13.3 [Deleted]
AMI 13.4 [Deleted]
AMI 13.5 [Deleted]
AMI 13.6 [Deleted]
AMI 13.7 [Deleted]
AMI 13.8 [Deleted]
AMI 14 Appeals of Authorised Market Institution Decisions
AMI 14.1 Application
AMI App1 [Deleted]
AMI A1.1 Introduction [Deleted]
AMI A1.2 [Deleted]
AMI App2 Identification and Ongoing Due Diligence Requirements
AMI A2.1 Duties and responsibilities
AMI App3 Money Laundering Risks
AMI A3.1 Risk assessment
AMI A3.2 Risks regarding corruption and politically exposed persons
AMI A3.3 Suspicious transactions and transaction monitoring