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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
Rulebook Modules
Conduct of Business Module (COB) [VER33/07-19]
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Notices
Financial Markets Tribunal
Archive

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  • COB 9.1 Application and interpretation

    • COB 9.1.1

      This chapter applies to an Authorised FirmG which OperatesG an Alternative Trading SystemG (ATS Operator).

      [Added] DFSA RM123/2013 (Made 13th June 2013) [VER22/07-13]

      • COB 9.1.1 Guidance

        The Financial ServiceG of OperatingG an Alternative Trading SystemG can be either operating a Multilateral Trading FacilityG (MTF) or operating an Organised Trading FacilityG (OTF). See GEN Rule 2.22.1.

        [Added] DFSA RM123/2013 (Made 13th June 2013) [VER22/07-13]

    • COB 9.1.2

      In this chapter:

      (a) a reference to a “member” is a reference to a ClientG of the ATS OperatorG who has been granted access to its facilities in accordance with the requirements in this chapter;
      (b) a reference to a “facility” is a reference to a Multilateral Trading FacilityG (MTF) and an Organised Trading FacilityG (OTF), except where specific reference is made only to an MTFG or OTFG ;
      (c) a reference to an “ATS OperatorG ” is a reference to a PersonG operating an MTFG and a PersonG operating an OTFG , except where specific reference is made only to a PersonG operating an MTFG or a PersonG operating an OTFG ; and
      (d) where a RuleG in this chapter conflicts with any other provision in the DFSA RulebookG , the RuleG in this chapter prevails over those other provisions.
      [Added] DFSA RM123/2013 (Made 13th June 2013) [VER22/07-13]