Home   Browse contents   View updates   Search  
     Quick search
Go
   

Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
Rulebook Modules
Authorised Market Institutions (AMI) [VER18/02-17]
Part 3 Licensing Requirements
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Notices
Financial Markets Tribunal
Archive

Rich text Print
  • AMI 5.11.2

    (1) Without limiting the generality of Rule 5.11.1, an Authorised Market Institution must:
    (a) operate appropriate measures to identify, deter and prevent Market Abuse, money laundering and financial crime on and through the Authorised Market Institution's facilities; and
    (b) report promptly to the DFSA any Market Abuse, money laundering and financial crime, as required.
    (2) For the purposes of (1)(a), an Authorised Market Institution must:
    (a) include in its Business Rules a regime to prevent Market Abuse, 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 Members 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 Abuse, money laundering and financial crime;
    (b) transaction monitoring;
    (c) risk assessment; and
    (d) training.
    Derived from RM118/2013 [VER15/07-13]
    [Amended] RM193/2016 (Made 7th December 2016). [VER18/02-17]