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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
2018
Media Releases
Notices
Financial Markets Tribunal
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  • 2018

    • RMI230/2018 Markets Rules Module (MKT) Rule-Making Instrument (No. 230) 2018

      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 6 June 2018 and shall come into force on 1 August 2018.
      Amendments to Modules:
      (2) The Markets Rules (MKT) module – (MKT/VER11/04-18) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference – (MKT/VER12/08-18).
      Citation:
      (3) This instrument may be cited as the Markets Rules Rule-making Instrument (No. 230) 2018.
      (4) Appendix 1 to this instrument may be cited as the as the Markets Rules or MKT.

      By Order of the Board

      Saeb Eigner
      Chairman
                Ian Johnston
      Chief Executive

      6 June 2018

      RMI 230/2018

    • RMI229/2018 General Module (GEN) Rule-Making Instrument (No. 229) 2018

      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 6 June 2018 and shall come into force on 1 August 2018.
      Amendments to Modules:
      (2) The General Module (GEN) – (GEN/VER41/04-18) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference – (GEN/VER42/08-18).
      Citation:
      (3) This instrument may be cited as the General Module Rule-making Instrument (No. 229) 2018.
      (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

      6 June 2018

      RMI 229/2018

    • RMI228/2018 Fees Module (FER) Rule-Making Instrument (No. 228) 2018

      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 6 June 2018 and shall come into force on 1 August 2018.
      Amendments to Modules:
      (2) The Fees Module (FER) – (FER/VER17/04-18) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference – (FER/VER18/08-18).
      Citation:
      (3) This instrument may be cited as the Fees Module Rule-making Instrument (No. 228) 2018.
      (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

      6 June 2018

      RMI 228/2018

    • RMI227/2018 Prudential — Investment, Insurance Intermediation and Banking Business Module (PIB) Rule-Making Instrument (No. 227) 2018

      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 6 June 2018 and shall come into force on 1 August 2018.
      Amendments to Modules:
      (2) The Prudential – Investment, Insurance Intermediation and Banking Business Module (PIB) – (PIB/VER31/04-18) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference – (PIB/VER32/08-18).
      Citation:
      (3) This instrument may be cited as the Prudential – Investment, Insurance Intermediation and Banking Business Module Rule-making Instrument (No. 227) 2018.
      (4) Appendix 1 to this instrument may be cited as the Prudential – Investment, Insurance Intermediation and Banking Business Module or PIB.

      By Order of the Board

      Saeb Eigner
      Chairman
                Ian Johnston
      Chief Executive

      6 June 2018

      RMI 227/2018

    • RMI226/2018 Conduct of Business Module (COB) Rule-Making Instrument (No. 226) 2018

      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 6 June 2018 and shall come into force on 1 August 2018.
      Amendments to Modules:
      (2) The Conduct of Business Module (COB) – (COB VER29/08-17) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference – (COB VER30/08-18).
      Citation:
      (3) This instrument may be cited as the Conduct of Business Module Rule-making Instrument (No. 226) 2018.
      (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

      6 June 2018

      RMI 226/2018

    • RMI225/2018 Glossary Module (GLO) Rule-Making Instrument (No.225) 2018

      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 6 June 2018 and shall come into force on 1 August 2018.
      Amendments to Modules:
      (2) The Glossary Module (GLO) – (GLO/VER39/04-18) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference – (GLO/VER40/08-18).
      Citation:
      (3) This instrument may be cited as the Glossary Module Rule-making Instrument (No. 225) 2018.
      (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

      6 June 2018

      RMI 225/2018

    • RMI217/2018 Glossary Module (GLO) Rule-Making Instrument (No. 217) 2018

      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 22 February 2018 and shall come into force on 1 April 2018.
      Amendments to Modules:
      (2) The Glossary Module (GLO) – (GLO VER38_08-17) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference – (GLO/VER39/04-18).
      Citation:
      (3) This instrument may be cited as the Glossary Module Rule-making Instrument (No. 217) 2018.
      (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

      22 February 2018

      RMI 217/2018

    • RMI216/2018 Representative Office Module (REP) Rule-Making Instrument (No. 216) 2018

      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 22 February 2018 and shall come into force on 1 April 2018.
      Amendments to Modules:
      (2) The Representative Office Module (REP) – (REP/VER09/02-17) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference – (REP/VER10/04-18).
      Citation:
      (3) This instrument may be cited as the Representative Office Module Rule-making Instrument (No. 216) 2018.
      (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

      22 February 2018

      RMI 216/2018

    • RMI215/2018 Prudential — Investment, Insurance Intermediation and Banking Business Module (PIB) Rule-Making Instrument (No. 215) 2018

      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 22 February 2018 and shall come into force on 1 April 2018.
      Amendments to Modules:
      (2) The Prudential – Investment, Insurance Intermediation and Banking Business Module (PIB) – (PIB/VER30/01-18) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference – (PIB/VER31/04-18).
      Citation:
      (3) This instrument may be cited as the Prudential – Investment, Insurance Intermediation and Banking Business Module Rule-making Instrument (No. 215) 2018.
      (4) Appendix 1 to this instrument may be cited as the Prudential – Investment, Insurance Intermediation and Banking Business Module or PIB.

      By Order of the Board

      Saeb Eigner
      Chairman
                Ian Johnston
      Chief Executive

      22 February 2018

      RMI 215/2018

    • RMI214/2018 Fees Module (FER) Rule-Making Instrument (No. 214) 2018

      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 22 February 2018 and shall come into force on 1 April 2018.
      Amendments to Modules:
      (2) The Fees Module (FER) – (FER/VER16/01-18) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference – (FER/VER17/04-18).
      Citation:
      (3) This instrument may be cited as the Fees Module Rule-making Instrument (No. 214) 2018.
      (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

      22 February 2018

      RMI 214/2018

    • RMI213/2018 Price Stabilisation Module (PRS) Rule-Making Instrument (No. 213) 2018

      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 22 February 2018 and shall come into force on 1 April 2018.
      Amendments to Modules:
      (2) The Price Stabilisation Module (PRS) – (PRS/VER6/04-16) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference – (PRS/VER7/04-18).
      Citation:
      (3) This instrument may be cited as the Price Stabilisation Module Rule-making Instrument (No. 213) 2018.
      (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

      22 February 2018

      RMI 213/2018

    • RMI212/2018 Markets Rules (MKT) Rule-Making Instrument (No.212) 2018

      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 22 February 2018 and shall come into force on 1 April 2018.
      Amendments to Modules:
      (2) The Markets Rules (MKT) module – (MKT/VER10/08-17) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference – (MKT/VER11/04-18).
      Citation:
      (3) This instrument may be cited as the Markets Rules Rule-making Instrument (No. 212) 2018.
      (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

      22 February 2018

      RMI 212/2018

    • RMI211/2018 General Module (GEN) Rule-Making Instrument (No.211) 2018

      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 22 February 2018 and shall come into force on 1 April 2018.
      Amendments to Modules:
      (2) The General Module (GEN) – (GEN/VER40/08-17) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference – (GEN/VER41/04-18).
      Citation:
      (3) This instrument may be cited as the General Module Rule-making Instrument (No. 211) 2018.
      (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

      22 February 2018

      RMI 211/2018