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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
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  Versions
(2 versions)
 
Up to Jul 4 2012Jul 5 2012 - Jul 13 2013

AMI 7.2.1



Whole Section PDF

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 Jul 5 2012 - Jul 13 2013.
To view other versions open the versions tab on the right.

(1) An Authorised Market InstitutionG must be able to satisfy the Licensing RequirementsG to the satisfaction of the DFSAG at the time a LicenceG is granted and at all times thereafter.
(2) The Licensing RequirementsG referred to in (1) are set out in this section and contain requirements relating to:
(a) fitness and propriety;
(b) proper markets;
(c) financial resources;
(d) human and technology resources;
(e) systems and controls;
(f) Members'G access to facilities;
(g) general safeguards for investors;
(h) identification, deterrence and prevention of Market MisconductG , financial crime and money laundering
(i) promotion and maintenance of standards;
(j) whistle blowing;
(k) clearing and settlement;
(l) transaction recording;
(m) safeguarding and administration of assets;
(n) Business RulesG ;
(o) compliance with Business RulesG ;
(p) complaints;
(q) default rules;
(r) an Official List of SecuritiesG ; and
(s) compliance with listing rules.

Derived from DFSA RM17/2005 (Made 19th April 2005). [VER1/04-05]
[Amended] DFSA RM92/2012 (Made 14th June 2012). [VER12/06-12]