Entire Section

  • RPP 2-8 RPP 2-8 Application for an Endorsement to Operate a Multilateral Trading Facility or Act as a Trade Repository

    • RPP 2-8-1

      An applicant seeking to obtain an endorsement on its Licence to operate a Multilateral Trading Facility or to act as a Trade Repository will need to comply with the applicable requirements, including those set out in the GEN and AMI modules.

      Added by Notice of Updates (Made 11th February 2015). February 2015 Edition

    • RPP 2-8-2

      An applicant seeking to obtain an endorsement on its Licence to operate a Multilateral Trading Facility has to be an Authorised Market Institution which is Licensed to Operate an Exchange, or an applicant for such a Licence (see AMI Rule 2.3.1). In order to obtain such an endorsement, an applicant needs to demonstrate to the DFSA that it can meet the requirements in AMI Rule 4.2.1(3). Under that Rule, all the Licensing Requirements applicable with respect to operating an Exchange apply with respect to the operation of a Multilateral Trading Facility as if such a facility is an Exchange.

      Added by Notice of Updates (Made 11th February 2015). February 2015 Edition

    • RPP 2-8-3

      An applicant seeking to obtain an endorsement on its Licence to act as a Trade Repository must be an Authorised Firm or an Authorised Market Institution, or an applicant for such a Licence (see GEN Rule 2.2.13(1)). Such an applicant needs to demonstrate to the DFSA its ability to meet the requirements set out in App 5 of the GEN module (see GEN Rule 7.3.2 and AMI Rule 2.3.2).

      Added by Notice of Updates (Made 11th February 2015). February 2015 Edition