17. Maintaining an Official List of Securities

Past version: effective from 02/05/2010 - 29/11/-0001
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(1) Subject to (2), an Official List of Securities for an Authorised Market Institution may be maintained by either the Authorised Market Institution or the DFSA.
(2) An Authorised Market Institution may maintain an Official List of Securities provided it has an endorsed Licence authorising it to maintain an Official List of Securities.
(3) The DFSA may maintain an Official List of Securities where:
(a) the Authorised Market Institution does not wish to maintain an Official List of Securities;
(b) it has refused to grant an endorsement to an Authorised Market Institution to maintain an Official List of Securities; or
(c) it has suspended or withdrawn an endorsement from an Authorised Market Institution to maintain an Official List of Securities.
(4) An Authorised Market Institution when maintaining an Official List of Securities shall comply with the relevant requirements in the Law, its listing rules, the Offered Securities Rules and any other legislative requirement.
(5) An Authorised Market Institution shall not permit trading of Investments on its facilities unless those Investments:
(a) are admitted to, and not suspended from, an Official List of Securities maintained by it or the DFSA; or
(b) meet the requirements set out in Rules made for the purpose of this Article.
(6) The DFSA may make Rules prescribing appropriate transitional arrangements when transferring an Official List of Securities from an Authorised Market Institution to the DFSA or from the DFSA to an Authorised Market Institution.