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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
Rulebook Modules
Glossary Module (GLO) [VER44/07-19]
GLO 2 Glossary
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Notices
Financial Markets Tribunal
Archive

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  • [ F ] [Family Entity—Future]

    • Family Entity

      Has the meaning given to that term in the DIFC Single Family Office Regulations.

      [Added] DFSA RM60/2008 (as from 2nd September 2008). [VER21/09-08]
      [Amended] DFSA RM124/2013 (Made 13th June 2013) [VER30/07-13]

    • Family Fiduciary Structure

      Has the meaning given to that term in the DIFC Single Family Office Regulations.

      [Added] DFSA RM60/2008 (as from 2nd September 2008). [VER21/09-08]
      [Amended] DFSA RM124/2013 (Made 13th June 2013) [VER30/07-13]

    • Family Member

      Has the meaning given to that term in the DIFC Single Family OfficeG .

      [Added] DFSA RM60/2008 (as from 2nd September 2008). [VER21/09-08]
      [Amended] DFSA RM124/2013 (Made 13th June 2013) [VER30/07-13]

    • [Deleted]

      [Deleted] DFSA RM124/2013 (Made 13th June 2013) [VER30/07-13]

    • Fee

      Any payment offered or made by a ClientG to an Authorised FirmG in connection with Investment BusinessG or with any other business of the Authorised FirmG , including (where applicable) any Mark-up or Mark-downG .


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

    • Feeder Fund

      Has the meaning given in CIR Rule 3.1.4

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

    • Finance Officer

      In relation to:

      (a) an Authorised FirmG , the Licensed FunctionG described in GEN Rule 7.4.5; and
      (b) an Authorised Market InstitutionG , the Key IndividualG function described in AMI Rule 5.3.5.
      Derived from DFSA RM12/2004 (Made 16th September 2004). [VER1/09-04]
      Amended in accordance with Notice of Amendments to Legislation April 2011 [VER24/02-11]
      [Amended] DFSA RM124/2013 (Made 13th June 2013) [VER30/07-13]

    • Financial Action Task Force (FATF)

      An intergovernmental body responsible for developing and promoting policies to combat money laundering and terrorist financing.


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

    • Financial Group

      A group of entities which includes an Authorised FirmG and:

      (a) any ParentG incorporated in the DIFCG ;
      (b) any Financial InstitutionG subsidiaries (whether direct or indirect) of the ParentG or Parents in (a) or of the Authorised FirmG ;
      (c) any Financial InstitutionG in which the ParentG or ParentsG in (a), the Financial InstitutionG subsidiaries in (b) or the Authorised FirmG (whether direct or indirect) hold 20% or more of the voting rights or capital; and
      (d) any entity which the DFSAG directs the Authorised FirmG to include in accordance with PIB Rule 8.1.2 or PIN Rule 8.1.2.
      Derived from DFSA RM12/2004 (Made 16th September 2004). [VER1/09-04]
      [Amended] DFSA RM46/2007 (Made 5th July 2007). [VER15/07-07]
      [Amended] DFSA RM114/2012 (Made 15th October 2012). [VER28/12-12]

    • Financial Group Capital Adequacy Report

      The Report referred to in PIN Rule 6.6.1.

      [Added] DFSA RM46/2007 (Made 5th July 2007). [VER15/07-07]
      [Amended] DFSA RM114/2012 (Made 15th October 2012). [VER28/12-12]

    • Financial Group Capital Requirement

      The Capital RequirementG of a Financial GroupG calculated in accordance with PIB Rule 8.3.3 or PIN Rule 8.3.3.

      Derived from DFSA RM12/2004 (Made 16th September 2004). [VER1/09-04]
      [Amended] DFSA RM46/2007 (Made 5th July 2007). [VER15/07-07]
      [Amended] DFSA RM114/2012 (Made 15th October 2012). [VER28/12-12]

    • Financial Group Capital Resources

      The Capital ResourcesG of a Financial GroupG calculated in accordance with PIB Rule 8.3.4 or PIN 8.3.4.

      Derived from DFSA RM12/2004 (Made 16th September 2004). [VER1/09-04]
      [Amended] DFSA RM46/2007 (Made 5th July 2007). [VER15/07-07]
      [Amended] DFSA RM114/2012 (Made 15th October 2012). [VER28/12-12]

    • Financial Institution

      A regulated or unregulated entity, whose activities are primarily financial in nature.


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

    • Financial Instrument

      Any contract that gives rise to both a financial asset of one entity and a financial liability or equity instrument of another entity.


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

    • Financial Markets Tribunal

      the tribunal referred to in Article 26 of the Regulatory Law 2004.

      Derived from DFSA RM12/2004 (Made 16th September 2004). [VER1/09-04]
      [Amended] DFSA RM143/2014 (Made 21st August 2014). [VER31/06-14]

    • Financial Promotion

      Has the meaning given in Article 41A(3) of the Regulatory Law 2004.

    • Financial Promotions Prohibition

      Has the meaning given in Article 41A(1) of the Regulatory Law 2004.

    • Financial Service

      Has the meaning given in GEN Rule 2.2.1.


      Derived from DFSA RM12/2004 (Made 16th September 2004). [VER1/09-04]
      Amended in accordance with Notice of Amendments to Legislation April 2011 [VER24/02-11]

    • Financial Services Regulator

      A regulator of financial service activities established in a jurisdiction other than the DIFCG .


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

    • Financial Statement Auditor's Report

      A report referred to in GEN Rule 8.6.1(a).

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

    • First Loss Facility [Deleted]

      [Deleted] DFSA RM114/2012 (Made 15th October 2012). [VER28/12-12]

    • First to Default

      In relation to 'First to Default' baskets, the situation when the entire Credit DerivativeG contract terminates following the first Credit EventG on any of the Reference AssetsG or entities.


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

    • FMT

      Financial Markets TribunalG .

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

    • Foreign Currency

      The currency of any country or territory other than the currency in which the Authorised FirmG , to whom the expression relates, reports.


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

    • Foreign Exchange Risk Capital Requirement

      A component of the Market Risk Capital RequirementG and as calculated in accordance with PIB section 5.6.


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

    • Foreign Fund

      A FundG established or domiciled in a jurisdiction other than the DIFCG .

      [Added][VER8/04-06]

    • Forward Price

      A price calculated by reference to the valuation point next following the fund manager's agreement to sell or, as the case may be, to redeem the units in question.


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

    • Fund

      (1) A Collective Investment FundG .

      (2) In relation to a Passported FundG , has the meaning given in FPR section 1.3.

      [Added] [VER8/04-06]
      [Amended] DFSA RM236/2019 (Made 20th February 2019). [VER43/02-19]

    • Fund Administrator

      An Authorised FirmG which is authorised under its LicenceG to Provide Fund AdministrationG or a PersonG who is authorised or licensed by a Financial Service RegulatorG to provide such administraton.

      [Added][VER8/04-06]

    • Fund Auditor's Report

      A report referred to in CIR Rule 9.3.8(b).

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

    • FSRA

      The Financial Services Regulatory Authority of the Abu Dhabi Global Market.

      Derived from DFSA RM236/2019 (Made 20th February 2019). [VER43/02-19]

    • Fund Manager

      (1) The PersonG , described under Article 20(4) of the Collective Investment Law 2010, who is responsible for the management of the property held for or within a FundG and who otherwise operates the FundG and, in relation to a Domestic FundG , is authorised under a LicenceG granted by the DFSAG to operate the FundG .

      (2) In relation to a Passported FundG , the PersonG licensed by a Home RegulatorG to manage or operate the FundG .

      [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]
      [Amended] DFSA RM236/2019 (Made 20th February 2019). [VER43/02-19]

    • Fund of Funds

      Has the meaning given in CIR Rule 3.1.3

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

    • Fund Property

      The property held for or within a FundG .

      [Added][VER8/04-06]

    • Fund Prospectus

      Has the meaning given in MKT Rule 6.3.1(b)

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

    • Fund Protocol Rules

      The Fund Protocol Rules module of the Rulebook.

      Derived from DFSA RM236/2019 (Made 20th February 2019). [VER43/02-19]

    • FPR

      The Fund Protocol Rules module of the Rulebook.

      Derived from DFSA RM236/2019 (Made 20th February 2019). [VER43/02-19]

    • Fund Return

      The return described in PIN Rule A10.2.5.


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

    • Future

      Has the meaning given in GEN Rule A2.3.1(b).

      Derived from DFSA RM12/2004 (Made 16th September 2004). [VER1/09-04]
      [Amended] DFSA RM62/2008 (Made 4th January 2009). [VER20/01-09]