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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
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Glossary Module (GLO) [VER44/07-19]
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  • [ E ] [Effecting Contracts of Insurance—External Fund Manager]

    • Effecting Contracts of Insurance

      Has the meaning given in GEN section 2.15.


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

    • Eligible Bank

      Means:

      (a) a BankG ;
      (b) a legal entity that is authorised to accept deposits and supervised by the Central BankG of the StateG ; or
      (c) a legal entity that is:
      (i) authorised to accept deposits and supervised by a Financial Services RegulatorG in a jurisdiction outside the StateG ; and
      (ii) Rated at least A- by Standard & Poor's, or the equivalent by another Rating AgencyG .
      Derived from DFSA RM12/2004 (Made 16th September 2004). [VER1/09-04] (Made 19th June 2016) [VER36/08-16]

    • Eligible Custodian

      Has the meaning given in CIR Rule 8.2.4

      [Added][VER8/04-06]
      [Amended]DFSA RM34/2006[VER9/08-06]
      [Amended] DFSA RM56/2008 (Made 1st July 2008). [VER17/07-08]
      [Amended] DFSA RM72/2010 (Made 11th July 2010) [VER23/07-10]

    • Eligible Person [Deleted]

      [Deleted] DFSA RM56/2008 (Made 1st July 2008). [VER17/07-08]

    • Eligible Security

      A ShareG , DebentureG , CertificateG over a ShareG or DebentureG , WarrantG over a ShareG or DebentureG or a UnitG that is a share representing the rights or interests of a UnitholderG in a FundG .

      [Added] DFSA RM70/2010 (Made 11th July 2010). [VER3/07-10]
      [Amended] DFSA RM217/2018 (as from 22nd February 2018). [VER39/04-18]

    • Employee

      An individual:

      (a) who is employed or appointed by a PersonG in connection with that Person'sG business, whether under a contract of service or for services or otherwise; or
      (b) whose services, under an arrangement between that PersonG and a third party, are placed at the disposal and under the control of that PersonG .

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

    • ENF [Deleted]

      [Deleted] DFSA RM110/2012 (Made 23rd December 2012). [VER29/12-12]

    • Enforceable Undertaking [Deleted]

      [Deleted] DFSA RM110/2012 (Made 23rd December 2012). [VER29/12-12]

    • Enforcement Decisions Committee [Deleted]

      [Deleted] DFSA RM110/2012 (Made 23rd December 2012). [VER29/12-12]

    • Equity Risk Capital Requirement

      A component of the Market Risk Capital RequirementG , calculated in accordance with PIB section 5.5.


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

    • ETF

      An Exchange Traded FundG .

      Derived from DFSA RM221/2018 (Made 22nd February 2018). [VER42/12-18]

    • ETF Fund Manager

      The Fund ManagerG of an ETFG .

      Derived from DFSA RM221/2018 (Made 22nd February 2018). [VER42/12-18]

    • Error Trade

      In relation to an:

      (a) Authorised Market InstitutionG , has the meaning given in AMI Rule 6.6.1; and
      (b) Authorised FirmG , has the meaning given in COB Rule 9.6.5(3)
      [Added] DFSA RM124/2013 (Made 13th June 2013) [VER30/07-13]

    • Exchange

      An Authorised Market InstitutionG which is authorised under its LicenceG to carry on the Financial ServiceG of Operating an ExchangeG .

      [Added] DFSA RM19/2005 (as from 19th April 2005). [VER3/04-05]

    • Exchange Traded Fund

      Has the meaning given in CIR Rule 3.1.12.

      Derived from DFSA RM221/2018 (Made 22nd February 2018). [VER42/12-18]

    • Execute

      (In relation to a transaction) carry into effect or perform the transaction, whether as principal or as agent, including instructing another PersonG to execute the transaction.


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

    • Execution — Only Transaction

      A TransactionG executed by an Authorised FirmG upon the specific instructions of a ClientG where the Authorised FirmG does not give advice of the kind prescribed under GEN Rule 2.11.1 in relation to the TransactionG and where, in the case only of UnitsG , the Authorised FirmG has not OfferedG those particular UnitsG to that PersonG .

      [Added] DFSA RM56/2008 (Made 1st July 2008). [VER17/07-08]

    • Exempt Communications

      Communications referred to in MKT Rule 2.2.1.

      [Added] DFSA RM91/2012 (Made 14th June 2012). [VER26/06-12]

    • Exempt Fund

      Has the meaning given in Article 16(4) of the Collective Investment Law 2010.

      [Added] DFSA RM143/2014 (Made 21st August 2014). [VER31/06-14]

    • Exempt Offer [Deleted]

      [Deleted] DFSA RM91/2012 (Made 14th June 2012). [VER26/06-12]

    • Exempt Offeror [Deleted]

      [Deleted] DFSA RM91/2012 (Made 14th June 2012). [VER26/06-12]

    • Exempt Offers

      Offers prescribed in MKT Rule 2.3.1.

      [Added] DFSA RM91/2012 (Made 14th June 2012). [VER26/06-12]

    • Exempt Property Fund

      A Property FundG that is also an Exempt FundG .

      [Added] RM162/2015 (Made 9th December 2015). [VER34/02-16]

    • Exempt Securities

      In the case of SecuritiesG other than UnitsG , SecuritiesG prescribed in MKT Rule 2.4.1.

      In the case of UnitsG , those prescribed in Rule 6.3.3.

      [Added] DFSA RM91/2012 (Made 14th June 2012). [VER26/06-12]

    • Expenditure Based Capital Minimum

      A capital requirement calculated in accordance with PIB section 3.7.

      Derived from DFSA RM12/2004 (Made 16th September 2004). [VER1/09-04]
      [Amended] DFSA RM114/2012 (Made 15th October 2012). [VER28/12-12]

    • Exposure

      The maximum loss that an Authorised FirmG (and, where applicable, its PSIAG holders) might suffer as a result of the default or failure of a CounterpartyG , or a group of Closely RelatedG CounterpartiesG or an issuer or group of Closely RelatedG issuers.


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

    • External Fund

      Has the meaning given in Article 14 of the Collective Investment Law 2010.

      [Added] DFSA RM72/2010 (Made 11th July 2010) [VER23/07-10]

    • External Fund Manager

      Has the meaning given in Article 20(5) of the Collective Investment Law 2010.

      [Added] DFSA RM72/2010 (Made 11th July 2010) [VER23/07-10]