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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
Rulebook Modules
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
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Financial Markets Tribunal
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  • AMI 3.1.1

    This chapter applies to every PersonG who is an applicant for:

    (a) a LicenceG to be an Authorised Market InstitutionG ;
    (b) an endorsement to:
    (i) maintain an Official List of SecuritiesG ;
    (ii) operate a Multilateral Trading FacilityG ; or
    (iii) act as a Trade RepositoryG ; or
    (c) Key IndividualG status.
    Derived from RM118/2013 [VER15/07-13]

    • AMI 3.1.1 Guidance

      1. This chapter outlines the DFSA'sG authorisation requirements for an Authorised Market InstitutionG and its Key IndividualsG , as well as the process for an Authorised Market InstitutionG to obtain an endorsement on its LicenceG to maintain an Official List of SecuritiesG , operate a Multilateral Trading FacilityG or act as a Trade RepositoryG .
      2. This chapter should be read in conjunction with the RPP SourcebookG , which sets out the DFSA'sG general regulatory policy and processes. See chapter 2 of the RPP sourcebookG .
      Derived from RM118/2013 [VER15/07-13]