Entire Section

  • GEN 5.3.20 GEN 5.3.20

    An Authorised Person must establish and maintain systems and controls that ensure, as far as reasonably practical, that the Authorised Person and its Employees do not engage in conduct, or facilitate others to engage in conduct, which may constitute:

    (a) market abuse, whether in the DIFC or elsewhere; or
    (b) a financial crime under any applicable U.A.E. laws.
    Derived from DFSA RM01/2004 (Made 16th September 2004). [VER1/09-04]
    [Amended] DFSA RM119/2013 (Made 14th July 2013). [VER33/07-13]
    [Amended] DFSA RM184/2016 (Made 7th December 2016). [VER38/02-17]

    • GEN 5.3.20 Guidance [Deleted]

      [Deleted] DFSA RM95/2012 (Made 14th June 2012). [VER29/06-12]