Dubai Financial Services Authority

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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)

Rulebook Modules

Anti-Money Laundering, Counter-Terrorist Financing and Sanctions Module (AML) [VER16/07-19]

Authorised Market Institutions (AMI) [VER18/02-17]

Auditor Module (AUD) [VER3/02-17]

Conduct of Business Module (COB) [VER33/07-19]

Collective Investment Rules (CIR) [VER25/07-19]

Fees Module (FER) [VER20/02-19]

Fund Protocol Rules (FPR) [VER1/02-19]

General Module (GEN) [VER44/07-19]

Glossary Module (GLO) [VER44/07-19]

Islamic Finance Rules (IFR) [VER13/12-18]

Markets Rules (MKT) [VER15/07-19]

MKT 1 Introduction

MKT 2 Offer of Securities

MKT 2.1 Application

MKT 2.2 Exempt Communications

MKT 2.2 Guidance

MKT 2.2.1

MKT 2.3 Exempt Offers

MKT 2.4 Exempt Securities

MKT 2.5 Prospectus Structure and Content

MKT 2.6 Approval and Publication of a Prospectus

MKT 2.7 Offer Documents from Other Jurisdictions

MKT 2.8 Incorporation by Reference

MKT 2.9 Notification of Material Changes During the Currency of the Prospectus

MKT 2.10 Prospectus Liability

MKT 2.11 Exceptions from Liability

MKT 2.12 Financial Promotions

MKT 2.13 Miscellaneous

MKT 3 Governance of Reporting Entities

MKT 4 Market Disclosure

MKT 5 Accounting Periods and Financial Reports and Auditing

MKT 6 Listed Funds

MKT 7 Sponsors and Compliance Advisers

MKT 8 Systems and Controls

MKT 9 The Listing Rules

MKT 9A Market Abuse

MKT 10 Transitional Rules

MKT App 1 Content of a Prospectus

MKT App 2 Market Disclosure

MKT App 3 Market Disclosure Relating to Listed Funds

MKT App 4 Corporate Governance Best Practice Standards

MKT App 5 List of Exempt Offerors

MKT App 6 Continuing Obligations — Security Specific Disclosures

Price Stabilisation Module (PRS) [VER7/04-18]

Prudential — Insurance Business Module (PIN) [VER15/01-18]

Prudential — Investment, Insurance Intermediation and Banking Module (PIB) [VER33/02-19]

Recognition (REC) [VER12/01-18]

Representative Office Module (REP) [VER10/04-18]

Takeover Rules Module (TKO) [VER7/02-16]

Sourcebook Modules

Consultation Papers

Policy Statements

DFSA Codes of Practice

Amendments to Legislation

Financial Markets Tribunal

Connected by Complinet

MKT 2.2.1
For the purposes of Article 12(c) of the Law, in addition to the Exempt Communications specified in the Law, a communication is hereby prescribed by the DFSA as an Exempt Communication if it is made:

(a) in connection with the trading of Securities that are listed and traded on a Regulated Exchange; and

(b) in the ordinary course of business of an Authorised Firm or Recognised Member.

Derived from RM81/2011 (Made 30th November 2011). [VER1/11-11]