COB 9.4.1

Past version: effective from 14/07/2013 - 24/10/2021
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An ATS Operator must ensure in respect of every Investment traded on its facility that:

(a) only Investments which meet the requirements in (i) or (ii) are permitted to be traded on its facility:
(i) in the case of Securities, only Securities which are admitted to trading on an Authorised Market Institution or other Regulated Exchange; or
(ii) in the case of Derivatives, only instruments that meet the contract specification criteria set out in AMI Rule 6.3.2;
(b) there is sufficient information relating to the Investments traded on the facility available to members and other Persons having access to the facility through such members to enable such Persons to make informed decisions relating to such Investments; and
(c) if it is an Investment that references to an underlying benchmark or index provided by a Price Information Provider, the requirements in Rule 9.4.2 are met.
[Added] DFSA RM123/2013 (Made 13th June 2013) [VER22/07-13]