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  • 2006

    • RM38/2006 Auditor Rules Instrument 2006

      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 and having published the rules for consultation in accordance with Article 24 of the Regulatory Law 2004, hereby make the rules in the Annexes to this instrument.

      Commencement

      (1) The Rules in this instrument shall come into force on 28 November 2006, except Rules GEN 8.12, GEN 8.13, GEN 8.14 and GEN 8.18.1 (f), (g) and (h) which shall come into force on the date of enactment of the Regulatory Law Amendment Law, DIFC Law No. 8 of 2006.

      Amendments to Modules

      (2) The General Module (GEN) — GEN/VER11/08-06 is amended in accordance with Annex A to this instrument and the Module as amended by this instrument may be identified by the following reference — GEN/VER12/11-06.
      (3) The Glossary Module (GLO) — GLO/VER10/08-06 is amended in accordance with Annex B to this instrument and the Module as amended by this instrument may be identified by the following reference — GLO/VER11/11-06.

      Citation

      (4) This instrument may be cited as the Auditor Rules Instrument 2006.

      By Order of the Board
      Dr Habib Al-Mulla
      Chairman

      November 2006
      RM 38/2006

      Click here to download Annex A in PDF format.

      Click here to download Annex B in PDF format.

    • RM37/2006 Prime Broker Rules Instrument 2006

      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 and having published the rules for consultation in accordance with Article 24 of the Regulatory Law 2004, hereby make the rules in the Annex to this instrument.

      Commencement

      (1) This instrument shall come into force on 20 November 2006.

      Amendments to Modules

      (2) The Collective Investment Rules Module (CIR) — CIR/VER2/08-06 is amended in accordance with the Annex to this instrument and the Module as amended by this instrument may be identified by the following reference — CIR/VER3/11-06.

      Citation

      (3) This instrument may be cited as the Prime Broker Rules Instrument 2006.

      By Order of the Board
      Dr Habib Al-Mulla
      Chairman

      November 2006

      RM 37/2006

      Click here to download the Annex in PDF format.

    • RM36/2006 Annual Reporting Period Rules Instrument 2006

      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 and having published the rules for consultation in accordance with Article 24 of the Regulatory Law 2004, hereby make the rules in the Annex to this instrument.

      Commencement

      (1) This instrument shall come into force on the 16 October 2006.

      Amendments to Modules

      (2) The Offered Securities Rules Module (OSR) — OSR/VER5/06-06 is amended in accordance with the Annex to this instrument and the Module as amended by this instrument may be identified by the following reference — OSR/VER6/10-06.

      Citation

      (3) This instrument may be cited as the Annual Reporting Period Rules Instrument 2006.

      By Order of the Board
      Dr Habib Al-Mulla
      Chairman

      October 2006

      RM 36/2006

      Click here to download Annex A in PDF format.

    • RM35/2006 Investment Trust and REITS Rules Instrument 2006

      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 and having published the rules for consultation in accordance with Article 24 of the Regulatory Law 2004, hereby make the rules in the Annex to this instrument.

      Commencement

      (1) This instrument shall come into force on the 5th calendar day after the day on which the Investment Trust Law comes into force.

      Amendments to Modules

      (2) The Collective Investment Rules Module (CIR) — CIR/VER1/04-06 is amended in accordance with the Annex to this instrument and the Module as amended by this instrument may be identified by the following reference — CIR/VER2/08-06.

      Citation

      (3) This instrument may be cited as the Investment Trust and REITS Rules Instrument 2006.

      By Order of the Board
      Dr Habib Al-Mulla
      Chairman

      August 2006

      RM 35/2006

      Click here to download Annex A in PDF format.

    • RM34/2006 Investment Trust Rules Instrument 2006

      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 and having published the rules for consultation in accordance with Article 24 of the Regulatory Law 2004, hereby make the rules in the Annexes to this instrument.

      Commencement

      (1) This instrument shall come into force on the 5th calendar day after the day on which the Investment Trust Law comes into force.

      Amendments to Modules

      (2) The General Module (GEN) — GEN/VER10/06-06 is amended in accordance with Annex A to this instrument and the Module as amended by this instrument may be identified by the following reference — GEN/VER11/08-06.
      (3) The Authorisation Module (AUT) — AUT/VER5/06-06 is amended in accordance with Annex B to this instrument and the Module as amended by this instrument may be identified by the following reference — AUT/VER6/08-06.
      (4) The Prudential — Investment, Insurance Intermediation & Banking Module (PIB) — PIB/VER6/06-06 is amended in accordance with Annex C to this instrument and the Module as amended by this instrument may be identified by the following reference — PIB/VER7/08-06.
      (5) The Glossary Module (GLO) — GLO/VER8/04-06 is amended in accordance with Annex D to this instrument and the Module as amended by this instrument may be identified by the following reference — GLO/VER9/08-06.

      Citation

      (6) This instrument may be cited as the Investment Trust Rules Instrument 2006.

      By Order of the Board
      Dr Habib Al-Mulla
      Chairman

      August 2006

      RM 34/2006

      Click here to download Annex A in PDF format.

      Click here to download Annex B in PDF format.

      Click here to download Annex C in PDF format.

      Click here to download Annex D in PDF format.

    • RM33/2006 Transactions in Respect of Funds Amendment Rules Instrument 2006

      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 and:

      (a) having published the rules for consultation in accordance with Article 24 of the Regulatory Law 2004, hereby make COB Rule 6.9.5 in Annexe A to this instrument; and
      (b) having concluded that it would be prejudicial to the interests of the Dubai International Financial Centre to delay the making of the other rules in Annexes A and B in order to allow public consultation to be undertaken in respect of these rules, hereby make the other rules in Annexes A and B to this instrument.

      Commencement

      (1) This instrument shall come into force on 15 August 2006.

      Amendments to Modules

      (2) The Conduct of Business Module (COB) — COB/VER6/06-06 is amended in accordance with Annex A to this instrument and the Module as amended by this instrument may be identified by the following reference — COB/VER7/08-06.
      (3) The Glossary Module (GLO) — GLO/VER9/08-06 is amended in accordance with Annex B to this instrument and the Module as amended by this instrument may be identified by the following reference — GLO/VER10/08-06

      Citation

      (4) This instrument may be cited as the Transactions in Respect of Funds Rules Instrument 2006.

      By Order of the Board
      Dr Habib Al-Mulla
      Chairman

      July 2006

      RM 33/2006

      Click here to download Annex A in PDF format.

      Click here to download Annex B in PDF format.

    • RM32/2006 Licensed Representative Amendment Rules Instrument 2006

      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 and having published the rules for consultation in accordance with Article 24 of the Regulatory Law 2004, hereby make the rules in the Annex to this instrument.

      Commencement :

      (1) This instrument shall come into force on 18 June 2006.

      Amendments to Modules :

      (2) The General Module (GEN) — GEN/VER9/05-06 is amended in accordance with Annex A to this instrument and the Module as amended by this instrument may be identified by the following reference — GEN/VER10/06-06.
      (3) The Authorisation Module (AUT) — AUT/VER4/04-06 is amended in accordance with Annex B to this instrument and the Module as amended by this instrument may be identified by the following reference — AUT/VER5/06-06.

      Citation :

      (4) This instrument may be cited as the Licensed Representative Amendment Rules Instrument 2006.

      By Order of the Board
      Dr Habib Al-Mulla
      Chairman

      June 2006

      RM 32/2006

      Click here to download Annex A in PDF format.

      Click here to download Annex B in PDF format.

    • RM31/2006 Ancillary Service Providers Amendment Rules Instrument 2006

      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 and having published the rules for consultation in accordance with Article 24 of the Regulatory Law 2004, hereby make the rules in the Annex to this instrument.

      Commencement :

      (1) This instrument shall come into force on 18 June 2006.

      Amendments to Modules :

      (2) The General Module (GEN) — GEN/VER9/05-06 is amended in accordance with Annex A to this instrument and the Module as amended by this instrument may be identified by the following reference — GEN/VER10/06-06.
      (3) The Conduct of Business Module (COB) — COB/VER5/04-06 is amended in accordance with Annex B to this instrument and the Module as amended by this instrument may be identified by the following reference — COB/VER6/06-06. Ancillary Service Providers module — ASP/VER2/01-06 is amended in accordance with annex A to this instrument and the Module as amended by this instrument may be identified by the following reference — ASP/VER3/06-06.
      (4) The Prudential — Investment, Insurance Intermediation & Banking Module (PIB) — PIB/VER5/04-06 is amended in accordance with Annex C to this instrument and the Module as amended by this instrument may be identified by the following reference — PIB/VER6/06-06.
      (5) The Ancillary Service Providers Module (ASP) — ASP/VER2/01-06 is amended in accordance with Annex D to this instrument and the Module as amended by this instrument may be identified by the following reference — ASP/VER3/06-06.

      Citation :

      (6) This instrument may be cited as the Ancillary Service Providers Amendment Rules Instrument 2006.

      By Order of the Board
      Dr Habib Al-Mulla
      Chairman

      June 2006

      RM 31/2006

      Click here to download Annex A in PDF format.

      Click here to download Annex B in PDF format.

      Click here to download Annex C in PDF format.

      Click here to download Annex D in PDF format.

    • RM30/2006 Matched Principals Rules Instrument 2006

      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 and having published the rules for consultation in accordance with Article 24 of the Regulatory Law 2004, hereby make the rules in the Annex to this instrument.

      Commencement :

      (1) This instrument shall come into force on 18 June 2006.

      Amendments to Modules :

      (2) The Prudential — Investment, Insurance Intermediation & Banking Module (PIB) — PIB/VER5/04-06 is amended in accordance with Annex A to this instrument and the Module as amended by this instrument may be identified by the following reference — PIB/VER6/06-06.

      Citation :

      (3) This instrument may be cited as the Matched Principal Rules Instrument 2006.

      By Order of the Board
      Dr Habib Al-Mulla
      Chairman

      June 2006

      RM 30/2006

      Click here to download Annex A in PDF format.

    • RM29/2006 Branch Amendment Rules Instrument 2006

      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 and having published the rules for consultation in accordance with Article 24 of the Regulatory Law 2004, hereby make the rules in the Annex to this instrument.

      Commencement :

      (1) This instrument shall come into force on 20 June 2006.

      Amendments to Modules :

      (2) The Conduct of Business Module (COB) — COB/VER5/04-06 is amended in accordance with Annex A to this instrument and the Module as amended by this instrument may be identified by the following reference — COB/VER6/06-06.
      (3) The Supervision Module (SUP) — SUP/VER3/04-05 is amended in accordance with Annex B to this instrument and the Module as amended by this instrument may be identified by the following reference — SUP/VER4/06-06.

      Citation :

      (4) This instrument may be cited as the Branch Amendment Rules Instrument 2006.

      By Order of the Board
      Dr Habib Al-Mulla
      Chairman

      June 2006

      RM 29/2006

      Click here to download Annex A in PDF format.

      Click here to download Annex B in PDF format.

    • RM28/2006 Sponsors and Compliance Advisers Rules Instrument 2006

      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 and having published the rules for consultation in accordance with Article 24 of the Regulatory Law 2004, hereby make the rules and give the guidance in the Annexe to this instrument.

      Commencement:

      (1) This instrument shall come into force on 7 June 2006.

      Amendments to Modules:

      (2) The Offered Securities Rules module — OSR/VER4/04-06 is amended in accordance with the Annexe to this instrument and the module as amended by this instrument may be identified by the following reference — OSR/VER5/06-06.

      Citation:

      (3) This instrument may be cited as the Sponsors and Compliance Advisers Rules Instrument 2006.

      By Order of the Board
      Dr Habib Al-Mulla
      Chairman

      June 2006
      RM 28/2006

      Click here to download Annex A in PDF format.

    • RM27/2006 Prudential Returns Rules Instrument 2006

      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 and having published the rules for consultation in accordance with Article 24 of the Regulatory Law 2004, hereby make the rules in the Annex to this instrument.

      Commencement:

      (1) This instrument shall come into force on 7 June 2006.

      Amendments to Modules:

      (2) The Prescribed Forms and Notices Rules module—PFN/VER4/06-05 is discontinued and replaced by the Prudential Returns module (PRU) and the Application Forms and Notices Sourcebook (AFN).
      (3) The replacement Module PRU, contains all the prudential returns that were originally set out in the AFN as amended in accordance with Annex A.

      Citation:

      (4) This instrument may be cited as the Prudential Returns Rules Instrument 2006.
      (5) Annex B to this instrument may be cited as the Prudential Returns Rules or PRU.
      (6) The version of rules in Annex B to this instrument may be identified by the following reference PRU/VER1/06-06.

      By Order of the Board
      Dr Habib Al-Mulla
      Chairman

      June 2006
      RM 27/2006

      Click here to download Annex A in PDF format.

      Click here to download Annex B in PDF format.

    • RM26/2006 Collective Investment Rules Instrument 2006

      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 and having published the rules for consultation in accordance with Article 24 of the Regulatory Law 2004, hereby make the rules in the Annexes to this instrument.

      Commencement

      (1) This instrument shall come into force on the day the Collective Investment Law 2006 comes into force.

      Amendments to Modules

      (2) The General Module (GEN) — GEN/VER7/01-06 is amended in accordance with Annex A to this instrument and the Module as amended by this instrument may be identified by the following reference — GEN/VER8/04-06.
      (3) The Authorisation Module (AUT) — AUT/VER3/01-06 is amended in accordance with Annex B to this instrument and the Module as amended by this instrument may be identified by the following reference — AUT/VER4/04-06.
      (4) The Conduct of Business Module (COB) — COB/VER4/01-06 is amended in accordance with Annex C to this instrument and the Module as amended by this instrument may be identified by the following reference — COB/VER5/04-06.
      (5) The Prudential — Investment, Insurance Intermediation and Banking Business Module (PIB) — PIB/VER4/01-06 is amended in accordance with Annex D to this instrument and the Module as amended by this instrument may be identified by the following reference — PIB/VER5/04-06.
      (6) The Offered Securities Module (OSR) — OSR/VER3/09-05 is amended in accordance with Annex E to this instrument and the Module as amended by this instrument may be identified by the following reference — OSR/VER4/04-06.
      (7) The Glossary Module (GLO) — GLO/VER7/01-06 is amended in accordance with Annex F to this instrument and the Module as amended by this instrument may be identified by the following reference — GLO/VER8/04-06.

      Citation

      (8) This instrument may be cited as the Collective Investment Rules Instrument 2006.
      (9) Annex G to this instrument may be cited as the Collective Investment Rules or CIR.
      (10) This version of rules in Annex G to this instrument may be identified by the following reference — CIR/VER1/04-06

      By Order of the Board
      Dr Habib Al-Mulla
      Chairman

      March 2006
      RM 26/2006

      Click here to download Annex A in PDF format.

      Click here to download Annex B in PDF format.

      Click here to download Annex C in PDF format.

      Click here to download Annex D in PDF format.

      Click here to download Annex E in PDF format.

      Click here to download Annex F in PDF format.

      Click here to download Annex G in PDF format.

    • RM25/2006 Trust Service Providers Rules Instrument 2006

      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 and having published the rules for consultation in accordance with Article 24 of the Regulatory Law 2004, hereby make the rules in the Annexes to this instrument.

      Commencement

      (1) This instrument shall come into force on 23 February 2006.

      Amendments to Modules

      (2) The General Module (GEN) — GEN/VER6/12-05 is amended in accordance with Annex A to this instrument and the Module as amended by this instrument may be identified by the following reference — GEN/VER7/01-06.
      (3) The Authorisation Module (AUT) — AUT/VER2/08-05 is amended in accordance with Annex B to this instrument and the Module as amended by this instrument may be identified by the following reference — AUT/VER3/01-06.
      (4) The Conduct of Business Module (COB) — COB/VER3/12-05 is amended in accordance with Annex C to this instrument and the Module as amended by this instrument may be identified by the following reference — COB/VER4/01-06.
      (5) The Anti Money Laundering (AML) — AML/VER1/260/09-04 is amended in accordance with Annex D to this instrument and the Module as amended by this instrument may be identified by the following reference — AML/VER2/01-06.
      (6) The Prudential — Investment, Insurance Intermediation & Banking Module (PIB) — PIB/VER3/12-05 is amended in accordance with Annex E to this instrument and the Module as amended by this instrument may be identified by the following reference — PIB/VER4/01-06.
      (7) The Ancillary Service Providers Module (ASP) — ASP/VER1/258/09-04 is amended in accordance with Annex F to this instrument and the Module as amended by this instrument may be identified by the following reference — ASP/VER2/01-06.
      (8) The Glossary Module (GLO) — GLO/VER6/12-05 is amended in accordance with Annex G to this instrument and the Module as amended by this instrument may be identified by the following reference — GLO/VER7/01-06.

      Citation

      (9) This instrument may be cited as the Trust Service Providers Rules Instrument 2006.

      By Order of the Board
      Dr Habib Al-Mulla
      Chairman

      January 2006
      RM 25/2006

      Click here to download Annex A in PDF format.

      Click here to download Annex B in PDF format.

      Click here to download Annex C in PDF format.

      Click here to download Annex D in PDF format.

      Click here to download Annex E in PDF format.

      Click here to download Annex F in PDF format.

      Click here to download Annex G in PDF format.