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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
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Authorised Market Institutions (AMI) [VER18/02-17]
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Jul 14 2013 - Jan 31 2017Feb 1 2017 onwards

AMI 5.11.2

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Past version: effective from Jul 14 2013 - Jan 31 2017.
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(1) Without limiting the generality of Rule 5.11.1, an Authorised Market InstitutionG must:
(a) operate appropriate measures to identify, deter and prevent Market AbuseG , money laundering and financial crime on and through the Authorised Market Institution'sG facilities; and
(b) report promptly to the DFSAG any Market AbuseG , money laundering and financial crime, as required.
(2) For the purposes of (1)(a), an Authorised Market InstitutionG must:
(a) include in its Business RulesG a regime to prevent Market AbuseG , money laundering and financial crime that meets the requirements in (3), which is applicable to its Members; and
(b) implement adequate measures to ensure that its MembersG comply with that regime.
(3) The regime referred to in (2)(a) must, at a minimum, include rules and procedures in relation to:
(a) compliance arrangements to prevent Market AbuseG , money laundering and financial crime;
(c) transaction monitoring;
(d) risk assessment; and
(e) training.
Derived from RM118/2013 [VER15/07-13]