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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
2019
RMI234/2019 General Module (GEN) Rule-Making Instrument (No. 234) 2019
Media Releases
Notices
Financial Markets Tribunal
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  • 2019

    • RMI258/2019 Anti-Money Laundering, Counter-Terrorist Financing and Sanctions Module (AML) Rule-Making Instrument (No. 258) 2019

      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 26 June 2019 and shall come into force on 1 July 2019.
      Amendments to Modules:
      (2) The Anti-Money Laundering, Counter-Terrorist Financing and Sanctions Module (AML) – (AML/VER15/07-18) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference – (AML/VER16/07-19).
      Citation
      (3) This instrument may be cited as the Anti-Money Laundering, Counter-Terrorist Financing and Sanctions Module Rule-making Instrument (No. 258) 2019.
      (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
                Bryan Stirewalt
      Chief Executive

      26 June 2019

      RMI 258/2019

    • RMI257/2019 Glossary Module (GLO) Rule-Making Instrument (No. 257) 2019

      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 26 June 2019 and shall come into force on 1 July 2019.
      Amendments to Modules:
      (2) The Glossary Module (GLO) – (GLO/VER43/02-19) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference – (GLO/VER44/07-19).
      Citation
      (3) This instrument may be cited as the Glossary Module Rule-making Instrument (No. 257) 2019.
      (4) Appendix 1 to this instrument may be cited as the Glossary Module or GLO.

      By Order of the Board

      Saeb Eigner
      Chairman
                Bryan Stirewalt
      Chief Executive

      26 June 2019

      RMI 257/2019

    • RMI256/2019 Markets Rules (MKT) Rule-Making Instrument (No. 256) 2019

      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 26 June 2019 and shall come into force on 1 July 2019.
      Amendments to Modules:
      (2) The Markets Rules (MKT) module – (MKT/VER14/02-19) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference – (MKT/VER15/07-19).
      Citation
      (3) This instrument may be cited as the Markets Rules Rule-making Instrument (No. 256) 2019.
      (4) Appendix 1 to this instrument may be cited as the Markets Rules or MKT.

      By Order of the Board

      Saeb Eigner
      Chairman
                Bryan Stirewalt
      Chief Executive

      26 June 2019

      RMI 256/2019

    • RMI255/2019 Collective Investment Rules (CIR) Rule-Making Instrument (No. 255) 2019

      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 26 June 2019 and shall come into force on 1 July 2019.
      Amendments to Modules:
      (2) The Collective Investment Rules (CIR) module – (CIR/VER24/02-19) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference – (CIR/VER25/07-19).
      Citation
      (3) This instrument may be cited as the Collective Investment Rules Rule-making Instrument (No. 255) 2019.
      (4) Appendix 1 to this instrument may be cited as the Collective Investment Rules or CIR.

      By Order of the Board

      Saeb Eigner
      Chairman
                Bryan Stirewalt
      Chief Executive

      26 June 2019

      RMI 255/2019

    • RMI254/2019 Conduct of Business Module (COB) Rule-Making Instrument (No. 254) 2019

      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 26 June 2019 and shall come into force on 1 July 2019.
      Amendments to Modules:
      (2) The Conduct of Business Module (COB) – (COB VER32/02-19) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference – (COB VER33/07-19).
      Citation
      (3) This instrument may be cited as the Conduct of Business Module Rule-making Instrument (No. 254) 2019.
      (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
                Bryan Stirewalt
      Chief Executive

      26 June 2019

      RMI 254/2019

    • RMI253/2019 General Module (GEN) Rule-Making Instrument (No. 253) 2019

      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 26 June 2019 and shall come into force on 1 July 2019.
      Amendments to Modules:
      (2) The General Module (GEN) – (GEN/VER43/02-19) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference – (GEN/VER44/07-19).
      Citation
      (3) This instrument may be cited as the General Module Rule-making Instrument (No. 253) 2019.
      (4) Appendix 1 to this instrument may be cited as the General Module or GEN.

      By Order of the Board

      Saeb Eigner
      Chairman
                Bryan Stirewalt
      Chief Executive

      26 June 2019

      RMI 253/2019

    • RMI240/2019 Prudential — Investment, Insurance Intermediation and Banking Business Module (PIB) Rule-Making Instrument (No. 240) 2019

      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 20 February 2019 and shall come into force on 25 February 2019.
      Amendments to Modules:
      (2) The Prudential - Investment, Insurance Intermediation and Banking Business Module (PIB) – (PIB/VER32/08-18) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference – (PIB/VER33/02-19).
      Citation
      (3) This instrument may be cited as the Prudential – Investment, Insurance Intermediation and Banking Business Module Rule-making Instrument (No. 240) 2019.
      (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
                Bryan Stirewalt
      Chief Executive

      20 February 2019

      RMI 240/2019

    • RMI239/2019 Conduct of Business Module (COB) Rule-Making Instrument (No. 239) 2019

      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 20 February 2019 and hall come into force on 25 February 2019.
      Amendments to Modules:
      (2) The Conduct of Business Module (COB) – (COB VER31/09-18) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference – (COB VER32/02-19).
      Citation
      (3) This instrument may be cited as the Conduct of Business Module Rule-making Instrument (No. 239) 2019.
      (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
                Bryan Stirewalt
      Chief Executive

      20 February 2019

      RMI 239/2019

    • RMI238/2019 Markets Rules (MKT) Rule-Making Instrument (No. 238) 2019

      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 20 February 2019 and shall come into force on 25 February 2019.
      Amendments to Modules:
      (2) The Markets Rules (MKT) module – (MKT/VER13/12-18) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference – (MKT/VER14/02-19).
      Citation
      (3) This instrument may be cited as the Markets Rules Rule-making Instrument (No. 238) 2019.
      (4) Appendix 1 to this instrument may be cited as the Markets Rules or MKT.

      By Order of the Board

      Saeb Eigner
      Chairman
                Bryan Stirewalt
      Chief Executive

      20 February 2019

      RMI 238/2019

    • RMI237/2019 Fees Module (FER) Rule-Making Instrument (No. 237) 2019

      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 20 February 2019 and shall come into force on 25 February 2019.
      Amendments to Modules:
      (2) The Fees Module (FER) – (FER/VER19/12-18) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference – (FER/VER20/02-19).
      Citation
      (3) This instrument may be cited as the Fees Module Rule-making Instrument (No. 237) 2019.
      (4) Appendix 1 to this instrument may be cited as the Fees Module or FER.

      By Order of the Board

      Saeb Eigner
      Chairman
                Bryan Stirewalt
      Chief Executive

      20 February 2019

      RMI 237/2019

    • RMI236/2019 Glossary Module (GLO) Rule-Making Instrument (No. 236) 2019

      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 20 February 2019 and shall come into force on 25 February 2019.
      Amendments to Modules:
      (2) The Glossary Module (GLO) – (GLO/VER42/12-18) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference – (GLO/VER43/02-19).
      Citation
      (3) This instrument may be cited as the Glossary Module Rule-making Instrument (No. 236) 2019.
      (4) Appendix 1 to this instrument may be cited as the Glossary Module or GLO.

      By Order of the Board

      Saeb Eigner
      Chairman
                Bryan Stirewalt
      Chief Executive

      20 February 2019

      RMI 236/2019

    • RMI235/2019 Collective Investment Rules (CIR) Rule-Making Instrument (No. 235) 2019

      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 20 February 2019 and shall come into force on 25 February 2019.
      Amendments to Modules:
      (2) The Collective Investment Rules (CIR) module – (CIR/VER23/12-18) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference – (CIR/VER24/02-19).
      Citation
      (3) This instrument may be cited as the Collective Investment Rules Rule-making Instrument (No. 235) 2019.
      (4) Appendix 1 to this instrument may be cited as the Collective Investment Rules or CIR.

      By Order of the Board

      Saeb Eigner
      Chairman
                Bryan Stirewalt
      Chief Executive

      20 February 2019

      RMI 235/2019

    • RMI234/2019 General Module (GEN) Rule-Making Instrument (No. 234) 2019

      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 20 February 2019 and shall come into force on 25 February 2019.
      Amendments to Modules:
      (2) The General Module (GEN) – (GEN/VER42/08-18) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference – (GEN/VER43/02-19).
      Citation
      (3) This instrument may be cited as the General Module Rule-making Instrument (No. 234) 2019.
      (4) Appendix 1 to this instrument may be cited as the General Module or GEN.

      By Order of the Board

      Saeb Eigner
      Chairman
                Bryan Stirewalt
      Chief Executive

      20 February 2019

      RMI 234/2019

    • RMI233/2019 Fund Protocol Rules (FPR) Rule-Making Instrument (No. 233) 2019

      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 20 February 2019 and shall come into force on 25 February 2019.
      Citation
      (2) The Fund Protocol Rules (FPR) module in Appendix 1 to this instrument may be identified by the following reference – (FPR/VER1/02-19).
      (3) This instrument may be cited as the Fund Protocol Rules Rule-making Instrument (No. 233) 2019.
      (4) Appendix 1 to this instrument may be cited as the Fund Protocol Rules or FPR.

      By Order of the Board

      Saeb Eigner
      Chairman
                Bryan Stirewalt
      Chief Executive

      20 February 2019

      RMI 233/2019