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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
Rulebook Modules
Glossary Module (GLO) [VER43/02-19]
GLO 2 Glossary
[ M ] [Major Acquisition—Multilateral Trading Facility]
Market Abuse
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Notices
Financial Markets Tribunal
Archive

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  • [ M ] [Major Acquisition—Multilateral Trading Facility]

    • Major Acquisition

      Has the meaning given in GEN Rule 11.10.8(3)

      [Added]DFSA RM43/2007 (Made 1st June 2007). [VER9/06-07]
      Amended in accordance with Notice of Amendments to Legislation April 2011 [VER24/02-11]

    • Managing Assets

      Has the meaning given in GEN section 2.10.


      Derived from DFSA RM12/2004 (Made 16th September 2004). [VER1/09-04]

    • Mandatory Bid

      means a BidG which must be made under TKO Rule 4.1.1.

      [Added][VER5/09-05]

    • Managing a Collective Investment Fund

      Has the meaning given in GEN section 2.12.


      Derived from DFSA RM12/2004 (Made 16th September 2004). [VER1/09-04]
      Amended in accordance with Notice of Amendments to Legislation April 2011 [VER24/02-11]

    • Managing a Profit Sharing Investment Account

      Has the meaning given in GEN section 2.21.

      [Added] DFSA RM50/2007 (Made 1st October 2007). [VER16/10-07]
      [Amended] DFSA RM57/2008 (Made 1st July 2008). [VER17/07-08]

    • Managing a PSIA

      Managing a Profit Sharing Investment AccountG .

      [Added] DFSA RM57/2008 (Made 1st July 2008). [VER17/07-08]

    • Market Abuse

      Conduct which contravenes a provision contained in chapter 1 of Part 6 of the Markets Law 2012.

      [Added] DFSA RM19/2005 (as from 19th April 2005). [VER3/04-05]
      [Amended] DFSA RM91/2012 (Made 14th June 2012). [VER26/06-12]

    • Market Counterparty

      A ClientG specified under COB Rule 2.3.9.

      Derived from DFSA RM12/2004 (Made 16th September 2004). [VER1/09-04]
      [Amended] DFSA RM56/2008 (Made 1st July 2008). [VER17/07-08]
      [Amended] DFSA RM151/2015 (Made 11th February 2012). [VER33/04-15]

    • Market Maker

      In relation to an InvestmentG , a PersonG who holds himself out as able and willing to enter into transactions of sale and purchase in InvestmentsG of that description at prices determined by him generally and continuously rather than in respect of each particular transaction.


      Derived from DFSA RM12/2004 (Made 16th September 2004). [VER1/09-04]

    • Market Price

      The price at which the SharesG are being traded on an Authorised Market InstitutionG .

      [Added][VER4/08-05]

    • Market Risk

      The risk of loss that arises from fluctuations in the values of, or income from, assets or in interest or exchange rates.


      Derived from DFSA RM12/2004 (Made 16th September 2004). [VER1/09-04]

    • Market Risk Capital Requirement

      The requirement calculated in accordance with PIB Rule 5.3.1.

      Derived from DFSA RM12/2004 (Made 16th September 2004). [VER1/09-04]
      [Amended] DFSA RM114/2012 (Made 15th October 2012). [VER28/12-12]

    • Markets Law

      The Markets Law 2012

      Derived from DFSA RM187/2016 (Made 7th December 2016). [VER37/02-17]

    • Markets Rules

      Rules prescribed in the Market Rules Module of the DFSA Rulebook.

      [Added] DFSA RM91/2012 (Made 14th June 2012). [VER26/06-12]

    • Mark-up or Mark-down

      (1) When an Authorised FirmG receives instructions from a ClientG and takes a principal position in the relevant InvestmentG in order to complete a transaction, that is, when the Authorised FirmG takes a principal position in the relevant InvestmentG which it would not other wise take, except to complete that transaction, the difference, if any, between:
      (a) the price at which the Authorised FirmG takes a principal position in the relevant InvestmentG ;and
      (b) the price at which the Authorised FirmG ExecutesG the transaction with its ClientG ; or
      (2) When an Authorised FirmG ExecutesG a transaction with its ClientG against its own book and owes a duty of best execution, the difference between:
      (a) the price at which best execution would be achieved; and
      (b) the price at which the Authorised FirmG ExecutesG the transaction with its ClientG .
      Derived from DFSA RM12/2004 (Made 16th September 2004). [VER1/09-04]
      [Amended] RM162/2015 (Made 9th December 2015). [VER34/02-16]

    • Master Fund

      Has the meaning given in CIR Rule 3.1.5

      [Added] DFSA RM56/2008 (Made 1st July 2008). [VER17/07-08]
      [Amended] DFSA RM72/2010 (Made 11th July 2010) [VER23/07-10]

    • Material Information [Deleted]

      [Deleted] RM162/2015 (Made 9th December 2015). [VER34/02-16]

    • Maturity Ladder [Deleted]

      [Deleted] DFSA RM114/2012 (Made 15th October 2012). [VER28/12-12]

    • Maturity Method [Deleted]

      [Deleted] DFSA RM114/2012 (Made 15th October 2012). [VER28/12-12]

    • Maturity Mismatch

      A difference between the maturity of an asset and the corresponding liability.


      Derived from DFSA RM12/2004 (Made 16th September 2004). [VER1/09-04]

    • Member

      A PersonG admitted as a member of an Authorised Market InstitutionG in accordance with its Business RulesG .

      [Added] DFSA RM19/2005 (as from 19th April 2005). [VER3/04-05]

    • Minimum Capital Requirement

      The requirement calculated in accordance with PIN Rule A4.2.1.


      Derived from DFSA RM12/2004 (Made 16th September 2004). [VER1/09-04]

    • Minimum Cellular Capital Requirement

      The Minimum Segmental Capital RequirementG in respect of a cell.


      Derived from DFSA RM12/2004 (Made 16th September 2004). [VER1/09-04]

    • Minimum Fund Capital Requirement

      The requirement calculated in accordance with PIN Rule A8.2.1.


      Derived from DFSA RM12/2004 (Made 16th September 2004). [VER1/09-04]

    • Minimum Non-Cellular Capital Requirement

      The Minimum Segmental Capital RequirementG in respect of that part of a protected cell company that is not a cell.


      Derived from DFSA RM12/2004 (Made 16th September 2004). [VER1/09-04]

    • Minimum Segmental Capital Requirement

      The requirement calculated in accordance with PIN section A6.2.


      Derived from DFSA RM12/2004 (Made 16th September 2004). [VER1/09-04]

    • MKT

      The Markets module of the RulebookG .


      Derived from DFSA RM12/2004 (Made 16th September 2004). [VER1/09-04]

    • MLRO

      Money Laundering Reporting OfficerG

      Added by DFSA RM78/2011 [VER25/06-11]

    • Modified Duration [Deleted]

      [Deleted] DFSA RM114/2012 (Made 15th October 2012). [VER28/12-12]

    • Money

      Any form of money, including cheques and other payable orders.


      Derived from DFSA RM12/2004 (Made 16th September 2004). [VER1/09-04]

    • Money Laundering [Deleted]

      [Deleted] DFSA RM187/2016 (Made 7th December 2016). [VER37/02-17]

    • Money Laundering Reporting Officer (MLRO)

      (1) For the purposes of AMIG , a Key IndividualG described in AMI Rule 5.3.8.
      (2) For the purposes of an Authorised FirmG other than a Credit Rating AgencyG , the Licensed FunctionG described in GEN Rule 7.4.8.
      (3) For all other purposes, has the meaning in AML Rule 3.2.1.
      Derived from DFSA RM12/2004 (Made 16th September 2004). [VER1/09-04]
      [Amended] DFSA RM19/2005 (as from 19th April 2005). [VER3/04-05]
      Amended in accordance with Notice of Amendments to Legislation April 2011 [VER24/02-11]
      Amended by DFSA RM78/2011 [VER25/06-11]
      [Amended] DFSA RM124/2013 (Made 13th June 2013) [VER30/07-13]

    • Money Market Fund

      Has the meaning given in CIR Rule 3.1.11.

      [Added] RM162/2015 (Made 9th December 2015). [VER34/02-16]

    • MTF

      A Multilateral Trading FacilityG .

      [Added] DFSA RM124/2013 (Made 13th June 2013) [VER30/07-13]

    • Multilateral Development Bank

      Any one of the following banks:

      (a) African Development Bank (AfDB);
      (b) Asian Development Bank (ASB);
      (c) Caribbean Development Bank (CDB);
      (d) Council of Europe Development Bank;
      (e) European Bank for Reconstruction and Development (EBRD);
      (f) European Investment Bank (EIB);
      (g) European Investment Fund (EIF);
      (h) Inter-American Development Bank (IADB);
      (i) Inter-American Investment Corporation (IAIC);
      (j) International Bank for Reconstruction and Development (IBRD);
      (k) International Finance Corporation (IFC); or
      (l) Nordic Investment Bank (NIB).

      Derived from DFSA RM12/2004 (Made 16th September 2004). [VER1/09-04]

    • Multilateral Trading Facility

      Pursuant to GEN Rule 2.22.1(a), a system which brings together multiple third party buying and selling interests in InvestmentsG , in accordance with its non-discretionary rules, in a way that results in a contract in respect of such InvestmentsG .

      [Added] DFSA RM124/2013 (Made 13th June 2013) [VER30/07-13]