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Dubai Financial Services Authority (DFSA): Contents

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

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  • Exempt Dealings

    • MKT 3.4.4

      The prohibition in Rule 3.4.2(1) does not apply in relation to any dealing in SecuritiesG in the Reporting EntityG if such dealing by the Restricted PersonG relates to:

      (a) undertakings or elections to take up, or the taking up of, an entitlement under a rights issue or dividend reinvestment offer, or allowing such an entitlement or offer to lapse;
      (b) undertakings to accept, or the acceptance of, a Takeover Offer under Takeover Rules;
      (c) dealings where the beneficial interest in the relevant SecurityG does not change;
      (d) transactions between the Restricted PersonG and an AssociateG of such a PersonG ; or
      (e) transactions relating to dealings in an EmployeeG ShareG Scheme in accordance with the terms of such a scheme.
      Derived from RM81/2011 (Made 30th November 2011). [VER1/11-11]