Home   Browse contents   View updates   Search  
     Quick search
Go
   

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
Rulemaking Instruments
2014
Media Releases
Notices
Financial Markets Tribunal
Archive

BackText onlyPrint

You need the Flash plugin.

Download Macromedia Flash Player



  • 2014

    • RM148/2014 Prudential - Investment, Insurance Intermediation and Banking (PIB) Instrument (No. 148) 2014

      Click here to view the Rulemaking Instrument in PDF format.

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004, hereby make the Rules in the appendix to this instrument. The appendix to this instrument also contains the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:

      (1) This instrument is made on 10 December 2014 and shall come into force on 1 January 2015.

      Amendments to Modules:

      (2) The Prudential - Investment, Insurance Intermediation and Banking (PIB) module – (PIB/VER22/06-14) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference – (PIB/VER23/01-15).

      Citation:

      (3) This instrument may be cited as the Prudential - Investment, Insurance Intermediation and Banking Rule-making Instrument (No. 148) 2014.
      (4) Appendix 1 to this instrument may be cited as the Prudential - Investment, Insurance Intermediation and Banking module or PIB.

      By Order of the Board

      Saeb Eigner
      Chairman
            Ian Johnston
      Chief Executive

      10 December 2014
      RM148/2014


      Click here to view Appendix 1 in PDF format.

    • RM147/2014 Glossary Module (GLO) Instrument (No. 147) 2014

      Click here to view the Rulemaking Instrument in PDF format.

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004, hereby make the Rules in the appendix to this instrument. The appendix to this instrument also contains the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:

      (1) This instrument is made on 10 December 2014 and shall come into force on 1 January 2015.

      Amendments to Modules:

      (2) The Glossary (GLO) module – (GLO/VER31/06-14) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference – (GLO/VER32/01-15)

      Citation:

      (3) This instrument may be cited as the Glossary Rule-making Instrument (No. 147) 2014.
      (4) Appendix 1 to this instrument may be cited as the Glossary module or GLO.

      By Order of the Board

      Saeb Eigner
      Chairman
            Ian Johnston
      Chief Executive

      10 December 2014
      RM147/2014


      Click here to view Appendix 1 in PDF format.

    • RM146/2014 Market Rules Module (MKT) Instrument (No. 146) 2014

      Click here to view the Rulemaking Instrument in PDF format.

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004, hereby make the Rules in the appendix to this instrument. The appendix to this instrument also contains the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:

      (1) This instrument is made on 10 December 2014 and shall come into force on 1 January 2015.

      Amendments to Modules:

      (2) The Markets Rules (MKT) module – (MKT/VER5/06-14) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference – (MKT/VER6/01-15)

      Citation:

      (3) This instrument may be cited as the Markets Rules Rule-making Instrument (No. 146) 2014.
      (4) Appendix 1 to this instrument may be cited as Markets Rules module or MKT.

      By Order of the Board

      Saeb Eigner
      Chairman
            Ian Johnston
      Chief Executive

      10 December 2014
      RM146/2014


      Click here to view Appendix 1 in PDF format.

    • RM145/2014 Fees Rule Module (FER) Instrument (No. 145) 2014

      Click here to view the Rulemaking Instrument in PDF format.

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004, hereby make the Rules in the appendix to this instrument. The appendix to this instrument also contains the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:

      (1) This instrument is made on 29 October 2014 and shall come into force on 1 January 2015.

      Amendments to Modules:

      (2)The Fees Rules Module (FER) module — (FER/VER8/06-14) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (FER/VER09/01-15).

      Citation:

      (3) This instrument may be cited as the Fees Rules Rule-making Instrument (No. 145) 2014.
      (4) Appendix 1 to this instrument may be cited as the Fees Rules Module or FER.

      By Order of the Board

      Saeb Eigner
      Chairman
            Ian Johnston
      Chief Executive

      29 October 2014
      RM145/2014


      Click here to view Appendix 1 in PDF format.

    • RM144/2014 Conduct of Business Module (COB) Instrument (No. 144) 2014

      Click here to view the Rulemaking Instrument in PDF format.

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004, hereby make the Rules in the appendix to this instrument. The appendix to this instrument also contains the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:

      (1) This instrument is made on 24 August 2014 and shall come into force on the same day at 18:30 hours.

      Amendments to Modules:

      (2) The Conduct of Business (COB) module — (COB/VER22/07-13) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (COB/VER23/08-14).

      Citation:

      (3) This instrument may be cited as the Conduct of Business Rule-making Instrument (No. 144) 2014.
      (4) Appendix 1 to this instrument may be cited as the Conduct of Business module or COB.

      By Order of the Board

      Saeb Eigner
      Chairman
            Ian Johnston
      Chief Executive

      24 August 2014
      RM144/2014


      Click here to view Appendix 1 in PDF format.

    • RM143/2014 Glossary Module (GLO) Rule-making Instrument (No. 143) 2014

      Click here to view the Rulemaking Instrument in PDF format.

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004, hereby make the Rules in the appendix to this instrument. The appendix to this instrument also contains the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:

      (1) This instrument is conditional upon the enactment of a law to be called the “DIFC Laws Amendment Law No. 1 of 2014” and accordingly this instrument shall come into force after that law comes into force on the date signed below.

      Amendments to Modules:

      (2) The Glossary (GLO) module — (GLO/VER30/07-13) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (GLO/VER31/06-14).

      Citation:

      (3) This instrument may be cited as the Glossary Rule-making Instrument (No. 143) 2014.
      (4) Appendix 1 to this instrument may be cited as the Glossary module or GLO.

      By Order of the Board

      Saeb Eigner
      Chairman
            Ian Johnston
      Chief Executive

      21 August 2014
      RM143/2014


      Click here to view Appendix 1 in PDF format.

    • RM142/2014 Takeover (TKO) Rule-making Instrument (No. 142) 2014

      Click here to view the Rulemaking Instrument in PDF format.

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004, hereby make the Rules in the appendix to this instrument. The appendix to this instrument also contains the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:

      (1) This instrument is conditional upon the enactment of a law to be called the “DIFC Laws Amendment Law No. 1 of 2014” and accordingly this instrument shall come into force after that law comes into force on the date signed below.

      Amendments to Modules:

      (2) The Takeover (TKO) module — (TKO/VER5/06-12) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (TKO/VER6/06-14).

      Citation:

      (3) This instrument may be cited as the Takeover Rule-making Instrument (No. 142) 2014.
      (4) Appendix 1 to this instrument may be cited as the Takeover module or TKO.

      By Order of the Board

      Saeb Eigner
      Chairman
            Ian Johnston
      Chief Executive

      21 August 2014
      RM142/2014


      Click here to view Appendix 1 in PDF format.

    • RM141/2014 Fees Module (FER) Rule-making Instrument (No. 141) 2014

      Click here to view the Rulemaking Instrument in PDF format.

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004, hereby make the Rules in the appendix to this instrument. The appendix to this instrument also contains the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:

      (1) This instrument is conditional upon the enactment of a law to be called the “DIFC Laws Amendment Law No. 1 of 2014” and accordingly this instrument shall come into force after that law comes into force on the date signed below.

      Amendments to Modules:

      (2) The Fees (FER) module — (FER/VER7/07-13) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (FER/VER8/06-14).

      Citation:

      (3) This instrument may be cited as the Fees Rule-making Instrument (No. 141) 2014.
      (4) Appendix 1 to this instrument may be cited as the Fees module or FER.

      By Order of the Board

      Saeb Eigner
      Chairman
            Ian Johnston
      Chief Executive

      21 August 2014
      RM141/2014


      Click here to view Appendix 1 in PDF format.

    • RM140/2014 Recognition (REC) Rule-making Instrument (No. 140) 2014

      Click here to view the Rulemaking Instrument in PDF format.

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004, hereby make the Rules in the appendix to this instrument. The appendix to this instrument also contains the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:

      (1) This instrument is conditional upon the enactment of a law to be called the “DIFC Laws Amendment Law No. 1 of 2014” and accordingly this instrument shall come into force after that law comes into force on the date signed below.

      Amendments to Modules:

      (2) The Recognition (REC) module — (REC/VER7/06-12) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (REC/VER8/06-14).

      Citation:

      (3) This instrument may be cited as the Recognition Rule-making Instrument (No. 140) 2014.
      (4) Appendix 1 to this instrument may be cited as the Recognition module or REC.

      By Order of the Board

      Saeb Eigner
      Chairman
            Ian Johnston
      Chief Executive

      21 August 2014
      RM140/2014


      Click here to view Appendix 1 in PDF format.

    • RM139/2014 Islamic Finance Rules (IFR) Rule-making Instrument (No. 139) 2014

      Click here to view the Rulemaking Instrument in PDF format.

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004, hereby make the Rules in the appendix to this instrument. The appendix to this instrument also contains the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:

      (1) This instrument is conditional upon the enactment of a law to be called the “DIFC Laws Amendment Law No. 1 of 2014” and accordingly this instrument shall come into force after that law comes into force on the date signed below.

      Amendments to Modules:

      (2) The Islamic Finance Rules (IFR) module — (IFR/VER7/07-13) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (IFR/VER8/06-14).

      Citation:

      (3) This instrument may be cited as the Islamic Finance Rules Rule-making Instrument (No. 139) 2014.
      (4) Appendix 1 to this instrument may be cited as the Islamic Finance Rules module or IFR.

      By Order of the Board

      Saeb Eigner
      Chairman
            Ian Johnston
      Chief Executive

      21 August 2014
      RM139/2014


      Click here to view Appendix 1 in PDF format.

    • RM138/2014 Price Stabilisation Module (PRS) Rule-making Instrument (No. 138) 2014

      Click here to view the Rulemaking Instrument in PDF format.

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004, hereby make the Rules in the appendix to this instrument. The appendix to this instrument also contains the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:

      (1) This instrument is conditional upon the enactment of a law to be called the “DIFC Laws Amendment Law No. 1 of 2014” and accordingly this instrument shall come into force after that law comes into force on the date signed below.

      Amendments to Modules:

      (2) The Price Stabilisation (PRS) module — (PRS/VER4/06-12) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (PRS/VER5/06-14).

      Citation:

      (3) This instrument may be cited as the Price Stabilisation Rule-making Instrument (No. 138) 2014.
      (4) Appendix 1 to this instrument may be cited as the Price Stabilisation module or PRS.

      By Order of the Board

      Saeb Eigner
      Chairman
            Ian Johnston
      Chief Executive

      21 August 2014
      RM138/2014


      Click here to view Appendix 1 in PDF format.

    • RM137/2014 Collective Investment Rules (CIR) Rule-making Instrument (No. 137) 2014

      Click here to view the Rulemaking Instrument in PDF format.

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004, hereby make the Rules in the appendix to this instrument. The appendix to this instrument also contains the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:

      (1) This instrument is conditional upon the enactment of a law to be called the “DIFC Laws Amendment Law No. 1 of 2014” and accordingly this instrument shall come into force after that law comes into force on the date signed below.

      Amendments to Modules:

      (2) The Collective Investment Rules (CIR) module — (CIR/VER16/07-13) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (CIR/VER17/06-14).

      Citation:

      (3) This instrument may be cited as the Collective Investment Rules Rule-making Instrument (No. 137) 2014.
      (4) Appendix 1 to this instrument may be cited as the Collective Investment Rules module or CIR.

      By Order of the Board

      Saeb Eigner
      Chairman
            Ian Johnston
      Chief Executive

      21 August 2014
      RM137/2014


      Click here to view Appendix 1 in PDF format.

    • RM136/2014 Prudential - Insurance Business (PIN) Rule-making Instrument (No. 136) 2014

      Click here to view the Rulemaking Instrument in PDF format.

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004, hereby make the Rules in the appendix to this instrument. The appendix to this instrument also contains the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:

      (1) This instrument is conditional upon the enactment of a law to be called the “DIFC Laws Amendment Law No. 1 of 2014” and accordingly this instrument shall come into force after that law comes into force on the date signed below.

      Amendments to Modules:

      (2) The Prudential - Insurance Business (PIN) module — (PIN/VER13/07-13) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (PIN/VER14/06-14).

      Citation:

      (3) This instrument may be cited as the Prudential - Insurance Business Rulemaking Instrument (No. 136) 2014.
      (4) Appendix 1 to this instrument may be cited as Prudential – Insurance Business module or PIN.

      By Order of the Board

      Saeb Eigner
      Chairman
            Ian Johnston
      Chief Executive

      21 August 2014
      RM136/2014


      Click here to view Appendix 1 in PDF format.

    • RM135/2014 Prudential - Investment, Insurance Intermediation and Banking (PIB) Rule-making Instrument (No. 135) 2014

      Click here to view the Rulemaking Instrument in PDF format.

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004, hereby make the Rules in the appendix to this instrument. The appendix to this instrument also contains the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:

      (1) This instrument is conditional upon the enactment of a law to be called the “DIFC Laws Amendment Law No. 1 of 2014” and accordingly this instrument shall come into force after that law comes into force on the date signed below.

      Amendments to Modules:

      (2) The Prudential - Investment, Insurance Intermediation and Banking (PIB) module — (PIB/VER21/07-13) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (PIB/VER22/06-14).

      Citation:

      (3) This instrument may be cited as the Prudential - Investment, Insurance Intermediation and Banking Rule-making Instrument (No. 135) 2014.
      (4) Appendix 1 to this instrument may be cited as the Prudential - Investment, Insurance Intermediation and Banking module or PIB.

      By Order of the Board

      Saeb Eigner
      Chairman
            Ian Johnston
      Chief Executive

      21 August 2014
      RM135/2014


      Click here to view Appendix 1 in PDF format.

    • RM134/2014 Markets Rules Module (MKT) Rule-making Instrument (No. 134) 2014

      Click here to view the Rulemaking Instrument in PDF format.

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004, hereby make the Rules in the appendix to this instrument. The appendix to this instrument also contains the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:

      (1) This instrument is conditional upon the enactment of a law to be called the “DIFC Laws Amendment Law No. 1 of 2014” and accordingly this instrument shall come into force after that law comes into force on the date signed below.

      Amendments to Modules:

      (2) The Markets Rules (MKT) module — (MKT/VER4/07-13) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (MKT/VER5/06-14).

      Citation:

      (3) This instrument may be cited as the Markets Rules Rule-making Instrument (No. 134) 2014.
      (4) Appendix 1 to this instrument may be cited as Markets Rules module or MKT.

      By Order of the Board

      Saeb Eigner
      Chairman
            Ian Johnston
      Chief Executive

      21 August 2014
      RM134/2014


      Click here to view Appendix 1 in PDF format.

    • RM133/2014 Authorised Market Institutions Module (AMI) Rule-making Instrument (No. 133) 2014

      Click here to view the Rulemaking Instrument in PDF format.

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004, hereby make the Rules in the appendix to this instrument. The appendix to this instrument also contains the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:

      (1) This instrument is conditional upon the enactment of a law to be called the “DIFC Laws Amendment Law No. 1 of 2014” and accordingly this instrument shall come into force after that law comes into force on the date signed below.

      Amendments to Modules:

      (2) The Authorised Market Institutions (AMI) module — (AMI/VER15/07-13) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (AMI/VER16/06-14).

      Citation:

      (3) This instrument may be cited as the Authorised Market Institutions Rulemaking Instrument (No. 133) 2014.
      (4) Appendix 1 to this instrument may be cited as Authorised Market Institutions module or AMI.

      By Order of the Board

      Saeb Eigner
      Chairman
            Ian Johnston
      Chief Executive

      21 August 2014
      RM133/2014


      Click here to view Appendix 1 in PDF format.

    • RM132/2014 Anti Money Laundering Module (AML) Rule-making Instrument (No. 132) 2014

      Click here to view the Rulemaking Instrument in PDF format.

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004, hereby make the Rules in the appendix to this instrument. The appendix to this instrument also contains the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:

      (1) This instrument is conditional upon the enactment of a law to be called the “DIFC Laws Amendment Law No. 1 of 2014” and accordingly this instrument shall come into force after that law comes into force on the date signed below.

      Amendments to Modules:

      (2) The Anti Money Laundering (AML) module — (AML/VER9/07-13) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (AML/VER10/06-14).

      Citation:

      (3) This instrument may be cited as the Anti Money Laundering Rule-making Instrument (No. 132) 2014.
      (4) Appendix 1 to this instrument may be cited as Anti Money Laundering module or AML.

      By Order of the Board

      Saeb Eigner
      Chairman
            Ian Johnston
      Chief Executive

      21 August 2014
      RM132/2014


      Click here to view Appendix 1 in PDF format.

    • RM131/2014 General Module (GEN) Rule-making Instrument (No. 131) 2014

      Click here to view the Rulemaking Instrument in PDF format.

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004, hereby make the Rules in the appendix to this instrument. The appendix to this instrument also contains the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:

      (1) This instrument is conditional upon the enactment of a law to be called the “DIFC Laws Amendment Law No. 1 of 2014” and accordingly this instrument shall come into force after that law comes into force on the date signed below.

      Amendments to Modules:

      (2) The General (GEN) module — (GEN/VER33/07-13) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (GEN/VER34/06-14).

      Citation:

      (3) This instrument may be cited as the General Rule-making Instrument (No. 131) 2014.
      (4) Appendix 1 to this instrument may be cited as General module or GEN.

      By Order of the Board

      Saeb Eigner
      Chairman
            Ian Johnston
      Chief Executive

      21 August 2014
      RM131/2014


      Click here to view Appendix 1 in PDF format.

    • RM130/2014 Auditor (AUD) Rule-making Instrument (No. 130) 2014

      Click here to view the Rulemaking Instrument in PDF format.

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004, hereby make the Rules in the appendix to this instrument. The appendix to this instrument also contains the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:

      (1) This instrument is conditional upon the enactment of a law to be called the “DIFC Laws Amendment Law No. 1 of 2014” and accordingly this instrument shall come into force after that law comes into force on the date signed below.

      Rulebook Modules:

      (2) The Auditor (AUD) module in Appendix 1 to this instrument may be identified by the following reference — AUD/VER1/06-14.

      Citation:

      (3) This instrument may be cited as the Auditor Rule-making Instrument (No. 130) 2014.
      (4) Appendix 1 to this instrument may be cited as Auditor module or AUD.

      By Order of the Board

      Saeb Eigner
      Chairman
            Ian Johnston
      Chief Executive

      21 August 2014
      RM130/2014


      Click here to view Appendix 1 in PDF format.