Entire Section

  • 2017 2017

    • GM12/2017 Code of Market Conduct (CMC) Guidance Instrument (No. 12) 2017

      Click herehere to view the Rulemaking Instrument in PDF format.

      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, hereby make the Rules in the appendix to this instrument. The appendix to this instrument also contains the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:
      (1) This instrument is made on 14 June 2017 and shall come into force on 1 August 2017.
      Amendments to Modules:
      (2) The updated Code of Market Conduct (CMC) Module in Appendix 1Appendix 1 to this instrument may be identified by the following reference — CMC/VER03/08-17.
      Citation:
      (3) This instrument may be cited as the Code of Market Conduct Guidance Instrument (No.12) 2017.
      (4) Appendix 1Appendix 1 to this instrument may be cited as the Code of Market Conduct Module or CMC.

      By Order of the Board

      Saeb Eigner
      Chairman
                Ian Johnston
      Chief Executive

      14 June 2017

      GMI 12/2017

    • GM11/2017 General Module (GEN) Guidance Instrument (No.11) 2017

      Click herehere to view the Guidance Instrument in PDF format.

      The Chief Executive of the Dubai Financial Services Authority ("DFSA") in the exercise of the powers conferred on him by Article 36 of the Regulatory Law 2004, hereby:

      (a) makes and issues the Guidance in Appendix 1Appendix 1 to this instrument; and
      (b) approves the publication of the updated GEN Module in Appendix 2Appendix 2 incorporating the Guidance in Appendix 1Appendix 1.

      Commencement:

      (1) This instrument is made on 23 May 2017 and shall come into effect on 24 May 2017.

      Modules:

      (2) The updated General (GEN) Module in Appendix 2Appendix 2 to this instrument may be identified by the following reference – GEN VER39_05-17.

      Citation:

      (3) This instrument may be cited as the General Module Guidance Instrument (No.11) 2017.
      (4) Appendix 2Appendix 2 to this instrument may be cited as the General Module or GEN.

      Ian Johnston
      Chief Executive
      DFSA

      23 May 2017

      GMI 11/2017