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]

GLO 1 Introduction

[ A ] [Accepting Deposits—Authorised Person]

[ B ] [Bank—Business Rules]

[ C ] [Capital Requirement—Customer Due Diligence (CDD)]

[ D ] [Dealing in Investments as Agent—Dubai Law]

Dealing in Investments as Agent

Dealing in Investments as Principal

Decision Maker [Deleted]

Decision Notice

Delegation Agreement

Delivery Versus Payment Transaction

Delta [Deleted]

Designated Fund

Designated Investments [Deleted]

Designated Non-Financial Business or Profession (DNFBP)

DIFC Business Return

DIFC Business Risk Capital Requirement

DIFC Incorporated Insurer

DIFC Registrar of Companies

Direct Electronic Access

Direct Long-Term Insurance

Direct Long-Term Insurance Business

Discretionary Portfolio Management Account

Discretionary Portfolio Management Agreement

Displaced Commercial Risk Capital Requirement (PSIACOM)

Distribution Event

Duration Method [Deleted]

[ E ] [Effecting Contracts of Insurance—External Fund Manager]

[ F ] [Family Entity—Future]

[ G ] [GEN—Guidance]

[ H ] [Hedge Fund—Holding Company]

[ I ] [IFR—Issuer]

[ J ] [Joint Forum]

[ K ] [Key Individual—Key Information]

[ L ] [Large Exposure—Long-Term Insurance Liabilities]

[ M ] [Major Acquisition—Multilateral Trading Facility]

[ N ] [Net Outstanding Claims—Notice of Objection]

[ O ] [Offer—Owner's Equity]

[ P ] [Parent—Public Sector Entities]

[ Q ] [Qualifying Holding—Quiet Period]

[ R ] [Rated—Rulebook]

[ S ] [Safekeeping Arrangement—Suspicious Transaction]

[ T ] [Takaful Insurer—Trust Service Provider]

[ U ] [U.A.E.—Unrestricted Profit Sharing Account]

[ V ] [Voluntary Bid]

[ W ] [Warrant]

[ Z ] [Zone 1—Zone 2]

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

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

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

Dealing in Investments as Principal
Has the meaning given in GEN section 2.7.

Derived from DFSA RM12/2004 (Made 16th September 2004). [VER1/09-04]