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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
Rulemaking Instruments
2015
Media Releases
Notices
Financial Markets Tribunal
Archive

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  • 2015

    • RM164/2015 Takeover Rules Module (TKO) Rule-making Instrument (No. 164) 2015

      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 9 December 2015 and shall come into force on 1 February 2016.

      Amendments to Modules:

      (2) The Takeover Rules Module (TKO) — (TKO/VER06/06-14) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (TKO/VER07/02-16)

      Citation:

      (3) This instrument may be cited as the Takeover Rules Module Rule-making Instrument (No. 164) 2015.
      (4) Appendix 1 to this instrument may be cited as the Takeover Rules Module or TKO.

      By Order of the Board

      Saeb Eigner
      Chairman
                Ian Johnston
      Chief Executive

      9 December 2015

      RM164/2015

    • RM163/2015 Markets Rules (MKT) Rule-making Instrument (No.163) 2015

      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 9 December 2015 and shall come into force on 1 February 2016.

      Amendments to Modules:

      (2) The Markets Rules (MKT) module — (MKT/VER06/01-15) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (MKT/VER07/02-16)

      Citation:

      (3) This instrument may be cited as the Markets Rules Rule-making Instrument (No.163) 2015.
      (4) Appendix 1 to this instrument may be cited as the Markets Rules or MKT.

      By Order of the Board

      Saeb Eigner
      Chairman
                Ian Johnston
      Chief Executive

      9 December 2015

      RM163/2015

    • RM162/2015 Glossary Module (GLO) Rule-making Instrument (No.162) 2015

      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 9 December 2015 and shall come into force on 1 February 2016.

      Amendments to Modules:

      (2) The Glossary Module (GLO) — (GLO/VER33/04-15) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (GLO/VER34/02-16)

      Citation:

      (3) This instrument may be cited as the Glossary Module Rule-making Instrument (No.162) 2015.
      (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

      9 December 2015

      RM162/2015

    • RM161/2015 Representative Office Module (REP) Rule-making Instrument (No. 161) 2015

      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 9 December 2015 and shall come into force on 1 February 2016.

      Amendments to Modules:

      (2) The Representative Office Module (REP) — (REP/VER05/07-13) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (REP/VER06/02-16)

      Citation:

      (3) This instrument may be cited as the Representative Office Module Rule-making Instrument (No. 161) 2015.
      (4) Appendix 1 to this instrument may be cited as the Representative Office Module or REP.

      By Order of the Board

      Saeb Eigner
      Chairman
                Ian Johnston
      Chief Executive

      9 December 2015

      RM161/2015

    • RM160/2015 Islamic Finance Rules (IFR) Rule-making Instrument (No.160) 2015

      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 9 December 2015 and shall come into force on 1 February 2016.

      Amendments to Modules:

      (2) The Islamic Finance Rules (IFR) module — (IFR/VER08/06-14) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (IFR/VER09/02-16) Citation

      Citation:

      (3) This instrument may be cited as the Islamic Finance Rules Rule-making Instrument (No.160) 2015.
      (4) Appendix 1 to this instrument may be cited as the Islamic Finance Rules or IFR.

      By Order of the Board

      Saeb Eigner
      Chairman
                Ian Johnston
      Chief Executive

      9 December 2015

      RM160/2015

    • RM159/2015 Fees Module (FER) Rule-making Instrument (No. 159) 2015

      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 9 December 2015 and shall come into force on 1 February 2016.

      Amendments to Modules:

      (2) The Fees Module (FER) — (FER/VER10/06-15) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (FER/VER11/02-16)

      Citation:

      (3) This instrument may be cited as the Fees Module Rule-making Instrument (No. 159) 2015.
      (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

      9 December 2015

      RM159/2015

    • RM158/2015 Collective Investment Rules (CIR) Rule-making Instrument (No.158) 2015

      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 9 December 2015 and shall come into force on 1 February 2016.

      Amendments to Modules:

      (2) The Collective Investment Rules (CIR) module — (CIR/VER18/04-15) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (CIR/VER19/02-16)

      Citation:

      (3) This instrument may be cited as the Collective Investment Rules Rule-making Instrument (No.158) 2015.
      (4) Appendix 1 to this instrument may be cited as the Collective Investment Rules or CIR.

      By Order of the Board

      Saeb Eigner
      Chairman
                Ian Johnston
      Chief Executive

      9 December 2015

      RM158/2015

    • RM157/2015 Prudential — Investment, Insurance Intermediation and Banking Module (PIB) Rule-making Instrument (No.157) 2015

      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 9 December 2015 and shall come into force on 1 February 2016.

      Amendments to Modules:

      (2) The Prudential — Investment, Insurance Intermediation and Banking Module (PIB) — (PIB/VER23/01-15) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (PIB/VER24/02-16)

      Citation:

      (3) This instrument may be cited as the Prudential — Investment, Insurance Intermediation and Banking Module Rule-making Instrument (No.157) 2015.
      (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

      9 December 2015

      RM157/2015

    • RM156/2015 Anti-Money Laundering, Counter-Terrorist Financing and Sanctions Module (AML) Rule-making Instrument (No.156) 2015

      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 9 December 2015 and shall come into force on 1 February 2016.

      Amendments to Modules:

      (2) The Anti-Money Laundering, Counter-Terrorist Financing and Sanctions Module (AML) — (AML/VER10/06-14) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (AML/VER11/02-16)

      Citation:

      (3) This instrument may be cited as the Anti-Money Laundering, Counter-Terrorist Financing and Sanctions Module Rule-making Instrument (No.156) 2015.
      (4) Appendix 1 to this instrument may be cited as the Anti-Money Laundering, Counter-Terrorist Financing and Sanctions Module or AML.

      By Order of the Board

      Saeb Eigner
      Chairman
                Ian Johnston
      Chief Executive

      9 December 2015

      RM156/2015

    • RM155/2015 General Module (GEN) Rule-making Instrument (No. 155) 2015

      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 9 December 2015 and shall come into force on 1 February 2016.

      Amendments to Modules:

      (2) The General Module (GEN) — (GEN/VER34/06-14) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (GEN/VER35/02-16)

      Citation:

      (3) This instrument may be cited as the General Module Rule-making Instrument (No. 155) 2015.
      (4) Appendix 1 to this instrument may be cited as the General Module or GEN.

      By Order of the Board

      Saeb Eigner
      Chairman
                Ian Johnston
      Chief Executive

      9 December 2015

      RM155/2015

    • RM154/2015 Conduct of Business Module (COB) Rule-making Instrument (No. 154) 2015

      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 9 December 2015 and shall come into force on 1 February 2016.

      Amendments to Modules:

      (2) The Conduct of Business Module (COB) — (COB/VER24/04-15) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (COB/VER25/02-16)

      Citation:

      (3) This instrument may be cited as the Conduct of Business Module Rule-making Instrument (No. 154) 2015.
      (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

      9 December 2015

      RM154/2015

    • RM153/2015 Recognition Module (REC) Rule-making Instrument (No. 153) 2015

      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 June 2015 and shall come into force on 1 August 2015.

      Amendments to Modules:

      (2) The Recognition (REC) module – (REC/VER8/06-14) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference – (REC/VER9/06-15)

      Citation:

      (3) This instrument may be cited as the Recognition Rule-making Instrument (No. 153) 2015.
      (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

      10 June 2015
      RM153/2015

    • RM152/2015 Fees Module (FER) Rule-making Instrument (No. 152) 2015

      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 June 2015 and shall come into force on 1 August 2015.

      Amendments to Modules:

      (2) The Fees (FER) module – (FER/VER9/01-15) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference – (FER/VER10/06-15)

      Citation:

      (3) This instrument may be cited as the Fees Rule-making Instrument (No. 152) 2015.
      (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

      10 June 2015
      RM152/2015

    • RM151/2015 Glossary Module (GLO) Rule-making Instrument (No. 151) 2015

      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 11 February 2015 and shall come into force on 1 April 2015.

      Amendments to Modules:

      (2) The Glossary (GLO) module – (GLO/VER32/01-15) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference – (GLO/VER33/04-15)

      Citation:

      (3) This instrument may be cited as the Glossary Rule-making Instrument (No. 151) 2015.
      (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

      11 February 2015
      RM151/2015

    • RM150/2015 Collective Investment Rules (CIR) Rule-making Instrument (No. 150) 2015

      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 11 February 2015 and shall come into force on 1 April 2015.

      Amendments to Modules:

      (2) The Collective Investment Rules (CIR) module – (CIR/VER17/06-14) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference – (CIR/VER18/04-15).

      Citation:

      (3) This instrument may be cited as the Collective Investment Rules Rule-making Instrument (No. 150) 2015.
      (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

      11 February 2015
      RM150/2015

    • RM149/2015 Conduct of Business Module (COB) Instrument (No. 149) 2015

      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 11 February 2015 and shall come into force on 1 April 2015.

      Amendments to Modules:

      (2) The Conduct of Business (COB) module – (COB/VER23/08-14) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference – (COB/VER24/04-15).

      Citation:

      (3) This instrument may be cited as the Conduct of Business Rule-making Instrument (No. 149) 2015.
      (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

      11 February 2015
      RM149/2015