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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Rulebook Modules
Markets Rules (MKT) [VER15/07-19]
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Financial Markets Tribunal

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  • MKT 2.12.1

    (1) A PersonG who makes a Prospectus OfferG must not, and must ensure that any agent of that PersonG or a member of its Group or other PersonsG associated or connected with the Prospectus OfferG do not, during the Offer PeriodG , make a Financial PromotionG relating to a Prospectus OfferG unless the Financial PromotionG :
    (a) states that a ProspectusG has been approved by the DFSAG and published or is to be published; and
    (b) gives an address from which a ProspectusG is or will be made available in the DIFCG or provides a link to a website from which the ProspectusG can be accessed.
    (2) Where a PersonG making a Prospectus OfferG uses a ProspectusG that comprises multiple documents as provided in Rule 2.5.1(1), the obligation to give or provide access to a ProspectusG in (1)(b) means giving or providing access to all the documents comprising the ProspectusG .
    Derived from RM81/2011 (Made 30th November 2011). [VER1/11-11]

    • MKT 2.12.1 Guidance

      The requirements relating to Financial PromotionsG in Rule 2.12.1 do not apply, due to the definitional exclusion provided in Article 12(1) of the Law, to any communication:

      a. made in connection with the trading of SecuritiesG on an Authorised Market InstitutionG or Regulated ExchangesG ;
      b. made for the purposes of complying with the on-going reporting requirements of an Authorised Market InstitutionG or the DFSAG ; or
      c. which is an Exempt CommunicationG as defined in Rule 2.2.1.
      Derived from RM81/2011 (Made 30th November 2011). [VER1/11-11]