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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
Rulebook Modules
Glossary Module (GLO) [VER43/02-19]
GLO 2 Glossary
[ P ] [Parent—Public Sector Entities]
Personal Account Transaction
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Notices
Financial Markets Tribunal
Archive

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Personal Account Transaction



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.

To view past versions of this module in PDF format, please visit the Archive.

A transaction undertaken by an EmployeeG of an Authorised FirmG in a InvestmentG , other than:

(a) a transaction in a government and public SecurityG ;
(b) a transaction in a life policy; or
(c) a discretionary transaction if there is no prior communication with the EmployeeG and the discretion is not exercised by the Authorised FirmG .

Derived from DFSA RM12/2004 (Made 16th September 2004). [VER1/09-04]