Entire Section

  • MKT 9.8 MKT 9.8 Provision of Information to the DFSA

    • MKT 9.8.1

      An Applicant or Listed Entity must provide to the DFSA as soon as possible:

      (a) any information and explanations which the DFSA may reasonably require to decide whether to grant an application for admission;
      (b) any information which the DFSA considers appropriate to protect investors or ensure the smooth operation of the market; and
      (c) any other information or explanation which the DFSA may reasonably require to verify whether the Listing Rules are being and have been complied with.
      Derived from RM81/2011 (Made 30th November 2011). [VER1/11-11]

    • Disclosure Requirements

      • MKT 9.8.2

        An Applicant or Listed Entity which is required by these Listing Rules to provide information to the DFSA must provide such information as soon as possible.

        Derived from RM81/2011 (Made 30th November 2011). [VER1/11-11]

      • MKT 9.8.3

        A Listed Entity must ensure that information required to be disclosed to the market under these Rules is disseminated to the market through one or more Regulatory Announcement Services.

        Derived from RM81/2011 (Made 30th November 2011). [VER1/11-11]

      • MKT 9.8.4

        A Listed Entity must take reasonable care to ensure that information required to be provided to the DFSA or disclosed to the market under these Rules is not misleading, false or deceptive and does not omit anything likely to affect the import of such information.

        Derived from RM81/2011 (Made 30th November 2011). [VER1/11-11]

    • Notification of Documents Sent to Shareholders

      • MKT 9.8.5 MKT 9.8.5

        If a Listed Entity provides any material document to the shareholders of its Listed Securities, it must disclose that it has done so as soon as possible by way of market disclosure in accordance with Rule 4.7.1.

        Derived from RM81/2011 (Made 30th November 2011). [VER1/11-11]

        • MKT 9.8.5 Guidance

          The DFSA would consider that a document has been made available to the public if, following the public disclosure, the document is available on the Listed Entity's website or on the website of the AMI on which its Securities are admitted to trading.

          Derived from RM81/2011 (Made 30th November 2011). [VER1/11-11]

    • Contact Details

      • MKT 9.8.6 MKT 9.8.6

        A Listed Entity must ensure that the DFSA is provided with up to date contact details of appropriate Persons nominated by it to act as the first point of contact with the DFSA in relation to the Listed Entity's compliance with the Markets Rules and the Markets Law, as applicable.

        Derived from RM81/2011 (Made 30th November 2011). [VER1/11-11]

        • MKT 9.8.6 Guidance

          The DFSA would expect a Listed Entity's contact in Rule 9.8.6 to be of sufficient seniority and influence within the company given the nature of the information which such Person would be dealing with and the importance of the role in maintaining the Listed Entity's compliance with the Markets Rules and Law.

          Derived from RM81/2011 (Made 30th November 2011). [VER1/11-11]