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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Rulebook Modules
Conduct of Business Module (COB) [VER33/07-19]
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Financial Markets Tribunal

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  • COB 9.3.3

    An ATS Operator must, where it permits its members to provide to another Person Direct Electronic Access to its facilities, have adequate systems and controls including:

    (a) appropriate standards regarding risk controls and thresholds on trading through Direct Electronic Access;
    (b) mechanisms to identify and distinguish orders placed by those Persons who are allowed to place orders through Direct Electronic Access; and
    (c) if necessary, the ability to stop orders of, or trading by, the Persons allowed Direct Electronic Access.
    [Added] DFSA RM123/2013 (Made 13th June 2013) [VER22/07-13]