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Dubai Financial Services Authority (DFSA): Contents

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  • GEN App5 Trade Repository

    • GEN A5.1 Requirements applicable to Trade Repositories

      • Disclosure of market data by Trade Repositories

        • GEN A5.1.1

          A Trade RepositoryG must provide data in line with regulatory and industry expectations to relevant regulatory authorities and the public. Such information must be comprehensive and at a level of detail sufficient to enhance market transparency and support other public policy objectives.

          [Added] DFSA RM119/2013 (Made 14th July 2013). [VER33/07-13]

          • GEN A5.1.1 Guidance

            1. At a minimum, a Trade RepositoryG should provide aggregate data on open positions and transaction volumes and values and categorised data (for example, aggregated breakdowns of trading counterparties, reference entities, or currency breakdowns of products), as available and appropriate, to the public.
            2. Relevant regulatory authorities should be given access to additional data recorded in a Trade RepositoryG , including participant-level data, as relevant to the respective mandates and legal responsibilities of the relevant regulatory authority (such as market regulation and surveillance, oversight of exchanges, and prudential supervision or prevention of market misconduct).
            [Added] DFSA RM119/2013 (Made 14th July 2013). [VER33/07-13]

      • Processes and procedures

        • GEN A5.1.2

          A Trade RepositoryG must have effective processes and procedures to provide data to relevant authorities in a timely and appropriate manner to enable them to meet their respective regulatory mandates and legal responsibilities.

          [Added] DFSA RM119/2013 (Made 14th July 2013). [VER33/07-13]

          • GEN A5.1.2 Guidance

            A Trade RepositoryG should have procedures to facilitate enhanced monitoring, special actions, or official proceedings taken by relevant authorities in relation to data on troubled or failed participants by making relevant information in the Trade RepositoryG available in a timely and effective manner. The provision of data from a Trade RepositoryG to relevant authorities should be supported from a legal, procedural, operational, and technological perspective.

            [Added] DFSA RM119/2013 (Made 14th July 2013). [VER33/07-13]

      • Information systems

        • GEN A5.1.3

          A Trade RepositoryG must have robust information systems that enable it to provide accurate current and historical data. Such data should be provided in a timely manner and in a format that permits it to be easily analysed.

          [Added] DFSA RM119/2013 (Made 14th July 2013). [VER33/07-13]

          • GEN A5.1.3 Guidance

            A Trade RepositoryG should collect, store, and provide data to participants, regulatory authorities, and the public in a timely manner and in a format that can facilitate prompt analysis. Data should be made available that permits both comparative and historical analysis of the relevant markets.

            [Added] DFSA RM119/2013 (Made 14th July 2013). [VER33/07-13]