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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Rulebook Modules
General Module (GEN) [VER44/07-19]
GEN 2 Financial Services
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Financial Markets Tribunal

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(3 versions)
Up to Jul 13 2013Jul 14 2013 - Apr 2 2016Apr 3 2016 onwards

GEN 2.17.1

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(1) In GEN Rule 2.2.2, Operating an ExchangeG means operating a facility which functions regularly and brings together multiple third party buying and selling interests in InvestmentsG , in accordance with its nondiscretionary rules, in a way that can result in a contract in respect of InvestmentsG admitted to trading or traded on the facility.
(2) The facility referred to in (1) may be organised on a temporary or permanent basis and can be an order driven system, a quote driven system or a hybrid of such systems that enables the market to operate electronic trading or trading by other means.
(3) To the extent that any activity under (1) constitutes Dealing in Investments as AgentG , Arranging CreditG or Deals in InvestmentsG or Arranging CustodyG , such Financial ServicesG are taken to be incorporated within Operating an ExchangeG , provided such activity is carried out as an incidental and integral part of the activities of Operating an ExchangeG .
Derived from DFSA RM01/2004 (Made 16th September 2004). [VER1/09-04]
[Amended] DFSA RM119/2013 (Made 14th July 2013). [VER33/07-13]