Home   Browse contents   View updates   Search  
     Quick search
Go
   

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

Whole Section Print Print Manager Link


  Versions
(1 version)
 
Up to Jul 13 2013

AMI 10 Supervision of Authorised Market Institutions

View whole sectionWhole 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 up to Jul 13 2013.
To view other versions open the versions tab on the right.


Contents:
AMI 10.1 Application
AMI 10.1.1
AMI 10.2 Relations with regulators and the risk based approach
AMI 10.2.1
AMI 10.2.2
AMI 10.3 Notifications
AMI 10.3 Guidance
AMI 10.3.1
AMI 10.4 Key individuals and regulatory functions
AMI 10.4.1
Disciplinary action and events relating to key individuals or directors
AMI 10.5 Constitution and governance
AMI 10.5.1
AMI 10.5.2
AMI 10.5.3
AMI 10.6 Financial and other information
AMI 10.6.1
AMI 10.6.2
AMI 10.6.3
AMI 10.6.4
Fees and charges
AMI 10.7 Complaints
AMI 10.7.1
AMI 10.8 Notification in respect of trading [Deleted]
AMI 10.8.1 [Deleted]
AMI 10.8.2 [Deleted]
AMI 10.8.3 [Deleted]
AMI 10.8 Notifications
Notification in respect of trading
Delisting or suspension of Securities by an Authorised Market Institution
AMI 10.9 Information technology systems
AMI 10.9.1
AMI 10.9.2
Inability to discharge regulatory functions
AMI 10.10 Investigations and disciplinary action
AMI 10.10.1
Disciplinary action relating to persons granted access to its facilities
Criminal offences and civil prohibition
Directions by an Authorised Market Institution
AMI 10.11 Supervisory directions
AMI 10.11 Guidance
AMI 10.12 Listing directions
AMI 10.12 Guidance
AMI 10.13 Public disclosures of decisions in relation to an Official List of Securities
AMI 10.13.1