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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Rulebook Modules
General Module (GEN) [VER44/07-19]
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Financial Markets Tribunal

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  • Conduct

    • GEN 5.3.20

      An Authorised PersonG must establish and maintain systems and controls that ensure, as far as reasonably practical, that the Authorised PersonG and its EmployeesG do not engage in conduct, or facilitate others to engage in conduct, which may constitute:

      (a) market abuse, whether in the DIFCG or elsewhere; or
      (b) a financial crime under any applicable U.A.E.G laws.
      Derived from DFSA RM01/2004 (Made 16th September 2004). [VER1/09-04]
      [Amended] DFSA RM119/2013 (Made 14th July 2013). [VER33/07-13]
      [Amended] DFSA RM184/2016 (Made 7th December 2016). [VER38/02-17]

      • GEN 5.3.20 Guidance [Deleted]

        [Deleted] DFSA RM95/2012 (Made 14th June 2012). [VER29/06-12]