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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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  • Validity and Transferability

    • MKT 9.3.8

      To be admitted to the ListG , an Applicant'sG SecuritiesG must:

      (a) be duly authorised according to the requirements of the Applicant'sG constitution;
      (b) have any necessary statutory or other consents;
      (c) be freely transferable; and
      (d) in the case of SharesG , be fully paid and free from any liens and from any restrictions on the right of transfer.
      Derived from RM81/2011 (Made 30th November 2011). [VER1/11-11]

      • MKT 9.3.8 Guidance

        The DFSAG may, in exceptional circumstances, waive or modify Rule 9.3.8 where the ApplicantG has the power to disapprove the transfer of SharesG , if the DFSAG is satisfied that this power would not disturb the market in those SharesG .

        Derived from RM81/2011 (Made 30th November 2011). [VER1/11-11]