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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
Rulebook Modules
Archive
Authorised Market Institutions (AMI)
Authorised Market Institutions (AMI) [VER14/07-12]
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Notices
Financial Markets Tribunal
Archive

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  Versions
(2 versions)
 
Up to Apr 27 2011Apr 28 2011 - Jul 13 2013

AMI 7.2 Licensing 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.

Past version: effective from Apr 28 2011 - Jul 13 2013.
To view other versions open the versions tab on the right.


Contents:
AMI 7.2 Guidance
AMI 7.2.1
Fit and proper — constitution, regulation and governance
AMI 7.2.2
Proper markets
AMI 7.2.3
Financial resources
AMI 7.2.4
Human and technology resources
AMI 7.2.5
Systems and controls
AMI 7.2.6
Members' access to facilities
AMI 7.2.7
AMI 7.2.8
AMI 7.2.9
AMI 7.2.10
General safeguards for investors
AMI 7.2.11
Market misconduct, financial crime and money laundering
AMI 7.2.12
Promotion and maintenance of standards
AMI 7.2.13
Whistleblowing
AMI 7.2.14
Clearing and settlement
AMI 7.2.15
Transaction recording
AMI 7.2.16
Safeguarding and administration of assets
AMI 7.2.17
Business rules
AMI 7.2.18
Compliance with business rules
AMI 7.2.19
Amendments to business rules
AMI 7.2.20
AMI 7.2.21
Default rules
AMI 7.2.22
Complaints
AMI 7.2.23
Official list of securities [Deleted]
AMI 7.2.19 [Deleted]
Compliance with listing rules [Deleted]
AMI 7.2.20 [Deleted]
AMI 7.2.21 [Deleted]