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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Recognised Jurisdictions and Funds
Declaration Notices
Financial Markets Tribunal
Rulebook Modules
Sourcebook Modules
Consultation Papers
Past Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases

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Annex E Glossary Module (GLO)

This Annex sets out the proposed amendments to VER3/04-05 of the GLO module.

In this Annex, underlining indicates new text and striking through indicates deleted text.

Alternative Trading System

A trading system or facility of a type specified under GEN 2.22.1.


An Alternative Trading System

ATS Operator

An Authorised Firm carrying on the Financial Service of Operating an Alternative Trading System for which it has authorisation under its Licence.

Operating an Alternative Trading System

Has the meaning given in GEN section 2.22.

Investment Business

The business of:

(a) Dealing in Investments as Principal;
(b) Dealing in Investments as Agent;
(c) Arranging Credit or Deals in Investments
(d) Managing Assets;
(e) Advising on Financial Products or Credit;
(f) Operating a Collective Investment Fund;
(g) Providing Custody;
(h) Arranging Custody; or
(i) Managing a Profit Sharing Investment Account: or
(j) Operating an Alternative Trading System.