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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
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
Financial Markets Tribunal

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  • Direct electronic access

    • COB 9.3.2

      An ATS OperatorG must have adequate rules and procedures to ensure that its members do not allow any other PersonG to have Direct Electronic AccessG to the facility unless such other PersonG meets the requirements in Rule 9.3.1(1).

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

    • COB 9.3.3

      An ATS OperatorG must, where it permits its members to provide to another Person Direct Electronic AccessG to its facilities, have adequate systems and controls including:

      (a) appropriate standards regarding risk controls and thresholds on trading through Direct Electronic AccessG ;
      (b) mechanisms to identify and distinguish orders placed by those PersonsG who are allowed to place orders through Direct Electronic AccessG ; and
      (c) if necessary, the ability to stop orders of, or trading by, the PersonsG allowed Direct Electronic AccessG .
      [Added] DFSA RM123/2013 (Made 13th June 2013) [VER22/07-13]