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  • 2011

    • RM86/2011 Authorised Market Institutions (AMI) Rule-Making Instrument (No. 86) 2011

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004 and having published the rules for consultation in accordance with Article 24 of the Regulatory Law 2004, hereby make the Rules in the appendix to this instrument. The appendix to this instrument also contains the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:

      (1) This instrument is made on 30 November 2011 and is conditional upon the enactment of a law to be called "Markets Law 2012"; and this instrument shall come into force on the same day as that law.

      Amendments to Modules:

      (2) The Authorised Market Institutions (AMI) module — (AMI/VER10/02-11) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (AMI/VER11/11-11).

      Citation:

      (3) This instrument may be cited as the Authorised Market Institutions (AMI) Rulemaking Instrument (No. 86) 2011.
      (4) Appendix 1 to this instrument may be cited as the Authorised Market Institutions module or AMI.

      By Order of the Board

      Saeb Eigner
      Chairman
            Paul M Koster
      Chief Executive

      30 November 2011
      RM86/2011


      Click here to view Appendix 1 in PDF format.

    • RM85/2011 [NOT IN USE]

    • RM84/2011 Glossary (GLO) Rule-Making Instrument (No. 84) 2011

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004 and having published the rules for consultation in accordance with Article 24 of the Regulatory Law 2004, hereby make the Rules in the appendix to this instrument. The appendix to this instrument also contains the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:

      (1) This instrument is made on 30 November 2011 and is conditional upon the enactment of a law to be called "Markets Law 2012"; and this instrument shall come into force on the same day as that law.

      Amendments to Modules:

      (2) The Glossary (GLO) module — (GLO/VER24/02-11) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (GLO/VER25/11-11).

      Citation:

      (3) This instrument may be cited as the Glossary (GLO) Rule-making Instrument (No. 84) 2011.
      (4) Appendix 1 to this instrument may be cited as the Glossary module or GLO.

      By Order of the Board

      Saeb Eigner
      Chairman
            Paul M Koster
      Chief Executive

      30 November 2011
      RM84/2011


      Click here to view Appendix 1 in PDF format.

    • RM83/2011 Fees Rules (FER) Rule-Making Instrument (No. 83) 2011

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004 and having published the rules for consultation in accordance with Article 24 of the Regulatory Law 2004, hereby make the Rules in the appendix to this instrument. The appendix to this instrument also contains the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:

      (1) This instrument is made on 30 November 2011 and is conditional upon the enactment of a law to be called "Markets Law 2012"; and this instrument shall come into force on the same day as that law.

      Amendments to Modules:

      (2) The Fees Rules (FER) module — (FER/VER4/07-10) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (FER/VER5/11-11).

      Citation:

      (3) This instrument may be cited as the Fes Rules (FER) Rule-making Instrument (No. 83) 2011.
      (4) Appendix 1 to this instrument may be cited as the Fees Rules module or FER.

      By Order of the Board

      Saeb Eigner
      Chairman
            Paul M Koster
      Chief Executive

      November 2011
      RM83/2011


      Click here to view Appendix 1 in PDF format.

    • RM82/2011 Recognition (REC) Rule-Making Instrument (No. 82) 2011

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004 and having published the rules for consultation in accordance with Article 24 of the Regulatory Law 2004, hereby make the Rules in the appendix to this instrument. The appendix to this instrument also contains the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:

      (1) This instrument is made on 30 November 2011 and is conditional upon the enactment of laws to be called “Regulatory Law Amendment Law 2012” and “Markets Law 2012”; and this instrument shall come into force on the same day as those laws.

      Amendments to Modules:

      (2) The Recognition (REC) module — (REC/VER5/11-08) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (REC/VER6/11-11).

      Citation:

      (3) This instrument may be cited as the Recognition (REC) Rule-making Instrument (No. 82) 2011.
      (4) Appendix 1 to this instrument may be cited as the Recognition module or REC.

      By Order of the Board

      Saeb Eigner
      Chairman
            Paul M Koster
      Chief Executive

      November 2011
      RM82/2011


      Click here to view Appendix 1 in PDF format.

    • RM81/2011 Market Rules Rule-Making Instrument (No. 81) 2011

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004 and having published the rules for consultation in accordance with Article 24 of the Regulatory Law 2004, hereby make the Rules in the appendix to this instrument. The appendix to this instrument also contains the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:

      (1) This instrument is made on 30 November 2011 and is conditional upon the enactment of a law to be called "Markets Law 2012"; and this instrument shall come into force on the same day as that law.

      Repealed Modules:

      (2) The Offered Securities Rules (OSR) module — (OSR/VER16/08-10) is repealed by this instrument.

      Rulebook Modules:

      (3) The Markets Rules (MKT) module in Appendix 1 to this instrument may be identified by the following reference — MKT/VER1/11-11.

      Citation

      (4) This instrument may be cited as the Markets Rules Instrument (No. 81) 2011.
      (5) Appendix 1 to this instrument may be cited as Markets Rules (MKT) module or MKT.

      By Order of the Board

      Saeb Eigner
      Chairman
            Paul M Koster
      Chief Executive

      November 2011
      RM81/2011


      Click here to view Appendix 1 in PDF format.

    • RM80/2011 OSR (Interim Listing and Transitional Rules) Rule-Making Instrument (No. 80) 2011

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004 and having concluded that it would be prejudicial to the interests of the Dubai International Financial Centre to delay the making of these rules in order to allow public consultation to be undertaken, hereby make the Rules in the appendices to this instrument. The appendices to this instrument also contain the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:

      (1) This instrument shall come into force on 1 October 2011

      Amendments to Modules:

      (2) The Offered Securities Rules (OSR) module — (OSR/VER15/07-10) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (OSR/VER16/08-11).

      Citation:

      (3) This instrument may be cited as the OSR (Interim Listing and Transitional Rules) Rule-making Instrument (No. 80) 2011.
      (4) Appendix 1 to this instrument may be cited as the Offered Securities Rules module or OSR.

      By Order of the Board

      Saeb Eigner
      Acting Chairman
            Paul M Koster
      Chief Executive

      July 2011
      RM80/2011


      Click here to view Appendix 1 in PDF format.

    • RM79/2011 DNF (Designated Non-Financial Business and Professions) Rule-Making Instrument (No. 79) 2011

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004 and having published the rules for consultation in accordance with Article 24 of the Regulatory Law 2004, hereby make the Rules in the appendices to this instrument. The appendices to this instrument also contain the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:

      (1) This instrument is made on 9 June 2011 and is conditional upon the enactment of a law to be called "Regulatory Law Amendment (No.2) Law 2011"; and this instrument shall come into force on the same day as that law.

      Rulebook Modules:

      (2) The Designated Non-Financial Business and Professions module (DNF) in Appendix 1 to this instrument may be identified by the following reference — DNF/VER1/06-11.

      Citation

      (3) This instrument may be cited as the Designated Non-Financial Business and Professions Rules Instrument (No. 79) 2011.
      (4) Appendix 1 to this instrument may be cited as the Designated Non-Financial Business and Professions module or DNF.

      By Order of the Board

      Abdullah Saleh
      Chairman
            Paul M Koster
      Chief Executive

      June 2011
      RM79/2011


      Click here to view Appendix 1 in PDF format.

    • RM78/2011 GLO (Glossary) Rule-Making Instrument (No. 78) 2011

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004 and having published the rules for consultation in accordance with Article 24 of the Regulatory Law 2004, hereby make the Rules in the appendices to this instrument. The appendices to this instrument also contain the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:

      (1) This instrument is made on 9 June 2011 and is conditional upon the enactment of a law to be called "Regulatory Law Amendment (No.2) Law 2011"; and this instrument shall come into force on the same day as that law.

      Amendments to Modules:

      (2) The Glossary (GLO) module — (GLO/VER24/02-11) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (GLO/VER25/06-11).

      Citation:

      (3) This instrument may be cited as the Glossary Rule-making Instrument (No. 78) 2011.
      (4) Appendix 1 to this instrument may be cited as the Glossary module or GLO.

      By Order of the Board

      Abdullah Saleh
      Chairman
            Paul M Koster
      Chief Executive

      June 2011
      RM79/2011


      Click here to view Appendix 1 in PDF format.

    • RM77/2011 Prudential — Investment, Insurance Intermediation and Banking Rule-Making Instrument (No. 77) 2011

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004 and having published the rules for consultation in accordance with Article 24 of the Regulatory Law 2004, hereby make the Rules in the appendices to this instrument. The appendices to this instrument also contain the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:

      (1) This instrument is made on 10 February 2011 and is conditional upon the enactment of a law to be called "Regulatory Law Amendment Law 2011"; and this instrument shall come into force on the same day as that law.

      Amendments to Modules:

      (2) The Prudential — Investment, Insurance Intermediation and Banking (PIB) module — (PIB/VER17/07-10) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (PIB/VER18/02-11).

      Citation:

      (3) This instrument may be cited as the Prudential — Investment, Insurance Intermediation and Banking Rule-making Instrument (No. 77) 2011.

      By Order of the Board

      Abdullah Saleh
      Chairman
            Paul M Koster
      Chief Executive

      February 2011
      RM77/2011


      Click here to view Appendix 1 in PDF format.

    • RM76/2011 Representative Office Rule-Making Instrument (No. 76) 2011

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004 and having published the rules for consultation in accordance with Article 24 of the Regulatory Law 2004, hereby make the Rules in the appendices to this instrument. The appendices to this instrument also contain the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:

      (1) This instrument is made on 10 February 2011 and is conditional upon the enactment of a law to be called "Regulatory Law Amendment Law 2011"; and this instrument shall come into force on the same day as that law.

      Amendments to Modules:

      (2) The Representative Office (REP) module — (REP/VER2/07-10) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (REP/VER3/02-11)

      Citation:

      (3) This instrument may be cited as the Representative Office Rule-making Instrument (No. 76) 2011.

      By Order of the Board

      Abdullah Saleh
      Chairman
            Paul M Koster
      Chief Executive

      February 2011
      RM76/2011


      Click here to view Appendix 1 in PDF format.

    • RM75/2011 Islamic Finance Rule-Making Instrument (No. 75) 2011

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004 and having published the rules for consultation in accordance with Article 24 of the Regulatory Law 2004, hereby make the Rules in the appendices to this instrument. The appendices to this instrument also contain the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:

      (1) This instrument is made on 10 February 2011 and is conditional upon the enactment of a law to be called "Regulatory Law Amendment Law 2011"; and this instrument shall come into force on the same day as that law.

      Amendments to Modules:

      (2) The Islamic Finance Rules (IFR) module — (IFR/VER2/07-10) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (IFR/VER3/02-11).

      Citation:

      (3) This instrument may be cited as the Islamic Finance Rule-making Instrument (No. 75) 2011.

      By Order of the Board

      Abdullah Saleh
      Chairman
            Paul M Koster
      Chief Executive

      February 2011
      RM75/2011


      Click here to view Appendix 1 in PDF format.

    • RM74/2011 Glossary Rule-Making Instrument (No. 74) 2011

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004 and having published the rules for consultation in accordance with Article 24 of the Regulatory Law 2004, hereby make the Rules in the appendices to this instrument. The appendices to this instrument also contain the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:

      (1) This instrument is made on 10 February 2011 and is conditional upon the enactment of a law to be called "Regulatory Law Amendment Law 2011"; and this instrument shall come into force on the same day as that law.

      Amendments to Modules:

      (2) The Glossary Module (GLO) module — (GLO/VER23/07-10) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (GLO/VER24/02-11).

      Citation:

      (3) This instrument may be cited as the Glossary Rule-making Instrument (No. 74) 2011.

      By Order of the Board

      Abdullah Saleh
      Chairman
            Paul M Koster
      Chief Executive

      February 2011
      RM74/2011


      Click here to view Appendix 1 in PDF format.

    • RM73/2011 General Rule-Making Instrument (No. 73) 2011

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004 and having published the rules for consultation in accordance with Article 24 of the Regulatory Law 2004, hereby make the Rules in the appendices to this instrument. The appendices to this instrument also contain the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:

      (1) This instrument is made on 10 February 2011 and is conditional upon the enactment of a law to be called "Regulatory Law Amendment Law 2011"; and this instrument shall come into force on the same day as that law.

      Repealed Modules:

      (2) The Authorisation (AUT) module — (AUT/VER13/07-10) is repealed by this instrument.
      (3) The Supervision (SUP) module — (SUP/VER6/01-10) is repealed by this instrument.

      Amendments to Modules:

      (4) The General (GEN) module — (GEN/VER26/07-10) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (GEN/VER27/02-11).

      Citation:

      (5) This instrument may be cited as the General Rule-making Instrument (No. 73) 2011.

      By Order of the Board

      Abdullah Saleh
      Chairman
            Paul M Koster
      Chief Executive

      February 2011
      RM73/2011


      Click here to view Appendix 1 in PDF format.