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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
Recognised Jurisdictions and Funds
Declaration Notices
Financial Markets Tribunal
Archive
Rulebook Modules
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Notices

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  • AMI 2.3 Application for an Endorsement

    • AMI 2.3.1

      The following requirements must be met by an applicant for the grant of an endorsement to operate a Multilateral Trading FacilityG :

      (a) it must hold a LicenceG with an authorisation to OperateG an ExchangeG ; and
      (b) it must be able to demonstrate that it can satisfy the requirement in Rule 4.2.1(3).
      Derived from RM118/2013 [VER15/07-13]
      [Amended] DFSA RM133/2014 (Made 21st August 2014). [VER16/06-14]

      • AMI 2.3.1 Guidance

        1. Under GEN Rule 2.2.11(c) and GEN Rule 2.2.12, an Authorised Market InstitutionG Licensed to Operate an ExchangeG may obtain an endorsement to carry on the activity of operating a Multilateral Trading FacilityG .
        2. An ExchangeG with an endorsement to operate an MTFG needs to meet, on an on-going basis, the applicable Licensing RequirementsG under Rule 4.2.1(3). Accordingly, when an ExchangeG wishes to obtain such an endorsement, it needs to be able to demonstrate to the DFSAG that it can meet each of the Licensing Requirements with respect to the proposed MTFG . For example, it should demonstrate how the IT systems and human resources available to it would be utilised for the purposes of operating the MTFG .
        [Added] DFSA RM133/2014 (Made 21st August 2014). [VER16/06-14]

    • AMI 2.3.2

      The requirements in App 5 to GEN must be met by an Authorised Market InstitutionG for the grant of an endorsement to act as a Trade RepositoryG .

      Derived from RM118/2013 [VER15/07-13]
      [Amended] DFSA RM133/2014 (Made 21st August 2014). [VER16/06-14]

      • AMI 2.3.2 Guidance [Deleted]

        [Deleted] DFSA RM133/2014 (Made 21st August 2014). [VER16/06-14]

    • AMI 2.3.3 [Deleted]

      [Deleted] DFSA RM133/2014 (Made 21st August 2014). [VER16/06-14]

    • AMI 2.3.4 [Deleted]

      [Deleted] DFSA RM133/2014 (Made 21st August 2014). [VER16/06-14]