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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Rulebook Modules
Prudential — Investment, Insurance Intermediation and Banking Module (PIB) [VER33/02-19]
PIB App5 Market Risk
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Financial Markets Tribunal

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  • PIB A5.8.4

    For the purposes of PIB Rule A5.8.3(b), an Authorised Firm must treat Securities as being new if they are:

    (a) Securities that, prior to the allotment following the Underwriting, were not in issue; or
    (b) Securities that have not previously been offered for sale or subscription to the public and have not been admitted to trading on a market operated by an Authorised Market Institution or an overseas investment exchange.
    Derived from RM111/2012 (Made 15th October 2012). [VER20/12-12]