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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
Rulebook Modules
Glossary Module (GLO) [VER38/08-17]
GLO 2 Glossary
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Notices
Financial Markets Tribunal
Archive

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GLO 2 Glossary

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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.


Contents:
[ A ] [Accepting Deposits—Authorised Person]
Acceptable Collateral [Deleted]
Accepting Deposits
Accounting Records
Acting as the Trustee of a Fund
Actuary
Adjusted Capital Resources
Adjusted Cellular Capital Resources
Adjusted Fund Capital Resources
Adjusted Non-Cellular Capital Resources
Advice
Advising
Advising on Credit
Advising on Financial Products
Advisor
Affected Person [Deleted]
AFN
Alternative Trading System
AMI
AML
[Deleted]
[Deleted]
Annual Audited Expenditure [Deleted]
Annual Information Return
Annual Regulatory Return
[Deleted]
Anti Money Laundering Suspicious Cases Unit (AMLSCU) [Deleted]
Approved Asset
Approved Prospectus
Approved Stock Exchange
Arranging Credit and Advising on Credit
Arranging Credit
Arranging Custody
Arranging Deals in Investments
[Deleted]
[Deleted]
Associate
ATS
ATS Operator
AUD
Auditor
Audit Principal
Audit Services
AUT [Deleted]
Authorised Firm
Authorised ISPV
Authorised Individual
Authorised Market Institution
Authorised Person
[ B ] [Bank—Business Rules]
Bank
Banking Business [Deleted]
Base Capital Requirement
Bearer Share
[Deleted]
Bid
Bidder
Bid Document
Bid Period
Board
Body Corporate
Branch
Business Rules
[ C ] [Capital Requirement—Customer Due Diligence (CDD)]
Capital Requirement
Capital Resources
Captive Cell
Captive Insurer
Carrying Out Contracts of Insurance
Category
CCP
Cell
Cell Return
Cell Share Capital
Cell Shares
Cellular Asset
Cellular Liabilities
Central Bank
Central Counterparty
Central Securities Depository
Certificate
Charge
Chief Executive (CEO)
Chinese Wall
CIR
Class
Class 1 Captive Cell
Class 2 Captive Cell
Class 3 Captive Cell
Class 1 Captive Insurer
Class 2 Captive Insurer
Class 3 Captive Insurer
Class 7 Capital Requirement
Class of Business
Clearing House
Client
Client Account
Client Agreement
Client Assets
Client Investments
Client Money
Client Money Auditor's Report
Client Money Distribution Rules
Client Money Provisions
Close Links
Close Out Netting
Close Relative
Closely Related
CMC
COB
Code of Ethics for Accountants and Audit Firms of Islamic Financial Institutions
Code of Ethics for Professional Accountants
Collateral
Collective Investment Fund
Commercial Customer [Deleted]
Commercial Paper
Commission
Commodities Risk Capital Requirement
Commodity Derivative
Complaint
Compliance Officer
Concentration Risk
Connected
Connected Counterparties
Connected Person
Constitution
Contingent Liability Investment
Contract of Insurance
Controller
Convertible
Corporate Governance Principles
Correspondent Account
Correspondent Bank
Correspondent Banking Client
Council
Counterparty
Counterparty Risk
Counterparty Risk Capital Component (CPCOM) [Deleted]
Court
Credit Default Product
Credit Derivatives
Credit Enhancement [Deleted]
Credit Equivalent Amount (CEA) [Deleted]
Credit Event
Credit Event Payment
Credit Facility
Credit Rating
Credit Rating Activities
Credit Rating Agency
Credit Risk
Credit Risk Capital Component (CRCOM) [Deleted]
Credit Risk Capital Requirement
Credit Spread Option
Credit-linked Note
Crowdfunding Loan Agreement
Crowdfunding Operator
Crowdfunding Platform
CSD
CTF
Customer Complaint [Deleted]
Customer Due Diligence (CDD)
[ D ] [Dealing in Investments as Agent—Dubai Law]
DAT [Deleted]
Dealing in Investments as Agent
Dealing in Investments as Principal
Debenture
Decision Maker [Deleted]
Decision Notice
Default Rules
Delegation Agreement
Delivery Versus Payment Transaction
Delta [Deleted]
Deposit
Derivative
Designated Fund
Designated Investments [Deleted]
Designated Non-Financial Business or Profession (DNFBP)
DFSA
DIFC
DIFC Business Return
DIFC Business Risk Capital Requirement
DIFC Incorporated Insurer
DIFC Registrar of Companies
Direct Electronic Access
Direct Long-Term Insurance
Direct Long-Term Insurance Business
Director
Discretionary Portfolio Management Account
Discretionary Portfolio Management Agreement
Displaced Commercial Risk Capital Requirement (PSIACOM)
Distribution Event
Domestic Firm
Domestic Fund
DNFBP
Dubai Law
Duration Method [Deleted]
[ E ] [Effecting Contracts of Insurance—External Fund Manager]
Effecting Contracts of Insurance
Eligible Bank
Eligible Custodian
Eligible Person [Deleted]
Eligible Security
Employee
ENF [Deleted]
Enforceable Undertaking [Deleted]
Enforcement Decisions Committee [Deleted]
Equity Risk Capital Requirement
Error Trade
Exchange
Execute
Execution — Only Transaction
Exempt Communications
Exempt Fund
Exempt Offer [Deleted]
Exempt Offeror [Deleted]
Exempt Offers
Exempt Property Fund
Exempt Securities
Expenditure Based Capital Minimum
Exposure
External Fund
External Fund Manager
[ F ] [Family Entity—Future]
Family Entity
Family Fiduciary Structure
Family Member
[Deleted]
Fee
Feeder Fund
Finance Officer
Financial Action Task Force (FATF)
Financial Group
Financial Group Capital Adequacy Report
Financial Group Capital Requirement
Financial Group Capital Resources
Financial Institution
Financial Instrument
Financial Markets Tribunal
Financial Promotion
Financial Promotions Prohibition
Financial Service
Financial Services Regulator
Financial Statement Auditor's Report
First Loss Facility [Deleted]
First to Default
FMT
Foreign Currency
Foreign Exchange Risk Capital Requirement
Foreign Fund
Forward Price
Fund
Fund Administrator
Fund Auditor's Report
Fund Manager
Fund of Funds
Fund Property
Fund Prospectus
Fund Return
Future
[ G ] [GEN—Guidance]
Gamma [Deleted]
GEN
General Insurance
General Insurance Business
General Insurance Liabilities
General Market Risk [Deleted]
General Market Risk Requirement [Deleted]
GLO
Global Return
Governing Body
Government and Public Securities
Gross Outstanding Claims
Gross Written Premium
Group
Group Risk
Guidance
[ H ] [Hedge Fund—Holding Company]
Hedge Fund
Historic Price
Holding Company
[ I ] [IFR—Issuer]
IFR
IFRS for Small and Medium Sized Enterprises
Independent Valuer
Inside Information
Insider
Instrument
Insurance Agent
Insurance Aggregation Site
Insurance Bank Account
Insurance Broker
Insurance Broking
Insurance Business
Insurance Fund
Insurance Intermediary
Insurance Intermediation
Insurance Intermediation Business
Insurance Liabilities
Insurance Management
Insurance Manager
Insurance Monies
Insurance Monies Auditor's Report
Insurance Special Purpose Vehicle
Insurer
Interest Rate Risk Capital Requirement [Deleted]
Internal Auditor
International Financial Reporting Standards (IFRS)
International Standards on Assurance Engagement
International Standards on Auditing
International Standards on Quality Control
International Standards on Related Services
Invested Assets
Investment
Investment Analyst
Investment Business
Investment Company
Investment Crowdfunding
Investment Crowdfunding Operator
Investment Crowdfunding Platform
Investment Grade [Deleted]
Investment-Linked Insurance
Investment Manager
Investment Partnership
Investment Research
Investment Risk Reserve
Investment Trust
Investment Undertaking
IOSCO
Islamic Accounting and Auditing Standards
Islamic Contract
Islamic Financial Business
Islamic Financial Institution
Islamic Fund
Islamic Securities
Islamic Window
ISPV
Issue Note [Deleted]
Issuer
[ J ] [Joint Forum]
Joint Forum
[ K ] [Key Individual—Key Information]
Key Individual
Key Information
[ L ] [Large Exposure—Long-Term Insurance Liabilities]
Large Exposure
Licence
Licence Endorsement
Licensed Director
Licensed Function
Licensed Partner
Licensed Representative [Deleted]
Licensing Requirements
Limited Liability Partnership
Liquidity Risk
List
Listed Entity
Listed Fund
Listed Securities
Listing Principles
Listing Rules
Lloyd's
Lloyd's Underwriter
Loan Crowdfunding
Loan Crowdfunding Operator
Loan Crowdfunding Platform
Local Authorities
Local Services Office [Deleted]
Long-Term Insurance
Long-Term Insurance Business
Long-Term Insurance Fund
Long-Term Insurance Liabilities
[ M ] [Major Acquisition—Multilateral Trading Facility]
Major Acquisition
Managing Assets
Mandatory Bid
Managing a Collective Investment Fund
Managing a Profit Sharing Investment Account
Managing a PSIA
Market Abuse
Market Counterparty
Market Maker
Market Price
Market Risk
Market Risk Capital Requirement
Markets Law
Markets Rules
Mark-up or Mark-down
Master Fund
Material Information [Deleted]
Maturity Ladder [Deleted]
Maturity Method [Deleted]
Maturity Mismatch
Member
Minimum Capital Requirement
Minimum Cellular Capital Requirement
Minimum Fund Capital Requirement
Minimum Non-Cellular Capital Requirement
Minimum Segmental Capital Requirement
MKT
MLRO
Modified Duration [Deleted]
Money
Money Laundering [Deleted]
Money Laundering Reporting Officer (MLRO)
Money Market Fund
MTF
Multilateral Development Bank
Multilateral Trading Facility
[ N ] [Net Outstanding Claims—Notice of Objection]
Net Outstanding Claims
Net Written Premium
Netting [Deleted]
Netting by Novation
Nominee Company
Non-Cellular Assets
Non-Cellular Liabilities
Non-DIFC insurer
Non-Performing
Non-Trading Book
Notice of Administrative Censure [Deleted]
Notice of Administrative Fine [Deleted]
Notice of Objection
[ O ] [Offer—Owner's Equity]
Offer
Offered Securities Rules [Deleted]
Offeree
Offeror
Offer Period
Offer of Securities to the Public
Offer Price
Official List of Securities
Operating a Clearing House
Operating a Crowdfunding Platform
Operating an Investment Crowdfunding Platform
Operating a Loan Crowdfunding Platform
Operating a Local Services Office [Deleted]
Operating a Management Office [Deleted]
Operating an Alternative Trading System
Operating an Exchange
Option Risk Capital Requirement [Deleted]
Option
Organised Trading Facility
Original Maturity [Deleted]
Originator [Deleted]
OSR [Deleted]
OTF
Outsourcing Agreement
Own Account Transaction
Owner's Equity
[ P ] [Parent—Public Sector Entities]
Parent
Partner
Partnership
Permanent Health Insurance
Permanent Share Capital
Permitted Third Party [Deleted]
Person
Personal Account Transaction
Personal Exempt Offer [Deleted]
Persons Undertaking Key Control Functions
PFN
PIB
PIN
Policy Benefit
Policyholder
Politically Exposed Persons (PEP)
Potential Future Credit Exposure (PFCE) [Deleted]
Practice Note
Preliminary Findings Letter [Deleted]
Preliminary Notice
Premium Liability
Price Sensitive Information
Price Stabilisation
Principal Representative
Principle
Private Equity Fund
Private Fund [Deleted]
Private Placement
Private Property Fund [Deleted]
Private Trust Company
Privileged Communication
Professional Client
Professional Investor [Deleted]
Profit Equalisation Reserve
Profit Sharing Investment Account (PSIA)
Property
Property Fund
Property Related Assets
Prospectus
Prospectus Offer
Protected Cell Company
Protection Buyer
Protection Seller
Providing Accountancy Services [Deleted]
Providing Compliance Services [Deleted]
Providing Credit
Providing Custody
Providing Fund Administration
Providing Legal Services [Deleted]
Providing Market Information Services [Deleted]
Providing Money Services
Providing Trust Services
PRU
Prudential Context
PSIA
PSIAr
PSIAu
Public Appearance
Public Fund
Public Listed Company
Public Listed Company Auditor's Report
Public Property Fund
Public Sector Entities
[ Q ] [Qualifying Holding—Quiet Period]
Qualified Investor [Deleted]
Qualified Investor Fund
Qualifying Holding
Quarterly Regulatory Return
Quiet Period
[ R ] [Rated—Rulebook]
Rated
Rating Action
Rating Agency
Rating Analyst
Rating Subject
Readily Realisable Securities
Real Estate Investment Trust
Real Property
REC
Recognised Body
Recognition Criteria
Recognised Jurisdiction
Recognised Jurisdiction Notice
Recognised Member
Recognised Person
Recognised Professional Body
Recognised Professional Qualification
Recognised Supervisory Authority
Recognition
Recognition Notice [Deleted]
Reference Asset
Reference Date
Reference Entity
Registered Auditor
Registration Statement
Regulated Exchange
Regulated Financial Institution
Regulation
Regulators
Regulatory Announcement Services
Regulatory Appeals Committee [Deleted]
Regulatory Function
Regulatory Law
Regulatory Returns Auditor's Report
REIT
Related
Related Party
Related Party Transaction
Related Person
Relevant Information
Relevant Person
Remuneration
Reporting Entity
Representative Office
Residual Maturity
Responsible Officer
Restricted Person
Restricted Profit Sharing Investment Accounts
Retail Client
Retail Customer [Deleted]
Return
Revolving Securitisation [Deleted]
Rho [Deleted]
Rights and Interests [Deleted]
Risk Officer
Rule
Rulebook
[ S ] [Safekeeping Arrangement—Suspicious Transaction]
Safekeeping Arrangement [Deleted]
Safe Custody Auditor's Report
Safe Custody Investment
Safe Custody Provisions
Schedule
Securities Note
Securities Underwriting Capital Requirement [Deleted]
Securities Exchange Bid
Securities Settlement System
Securitisation [Deleted]
Security
Segregated Account
Segregated Client
Senior Executive Officer
Senior Manager
Service Provider
Servicer [Deleted]
[Deleted]
Share
Shareholder Statement
Shari'a Supervisory Board
Shell Bank [Deleted]
Short Form Prospectus [Deleted]
Short Selling
Single Family
Single Family Office
Soft Dollar Agreement
Solvency Reference Date
Special Purpose Vehicle
Special Resolution
Specific Risk
Sponsor
SSB
SSS
Stabilisation Agent
Stabilisation Manager
Stabilisation Window
State
Statement by Directors
Statement of Recommended Practice (SORP)
Structured Product
Sub-Fund
Subsidiary
Summary
SUP [Deleted]
Supplementary Notes
Supplementary Prospectus
Suspicious Activity Report (SAR)
Synthetic Securitisation [Deleted]
[ T ] [Takaful Insurer—Trust Service Provider]
Takaful Insurer
Takeover
Takeover Principle
Target
Target Circular
Theta [Deleted]
Third Party Agent
Tier One Capital [Deleted]
Tier Two Capital [Deleted]
TKO
Total Return Swap [Deleted]
Trade Repository
Trading Book
Transaction
Trust Administration Services
Trust Deed
Trustee
Trust Law
Trust Service Provider
[ U ] [U.A.E.—Unrestricted Profit Sharing Account]
U.A.E.
Umbrella Fund
Undertaking
Underwriting
Unit
Unitholder
Unrestricted Profit Sharing Investment Account
Unsettled Transaction [Deleted]
US GAAP
[ V ] [Voluntary Bid]
Vega [Deleted]
Voluntary Bid
[ W ] [Warrant]
Walkaway Clause [Deleted]
Warrant
Working Papers
[ X ]
[ Y ]
[ Z ] [Zone 1—Zone 2]
Zone 1
Zone 2