AMI 3.2.1

(1) In order to become authorised to carry on one or both of the Financial Services of Operating an Exchange or Operating a Clearing House, the applicant must demonstrate to the satisfaction of the DFSA that it can meet the relevant Licensing Requirements specified in chapters 5, 5A, 6 and 7, as appropriate to the Financial Services it proposes to carry on, both at the point of the grant of the Licence and thereafter on an on-going basis.
(2) In order to obtain an endorsement on its Licence to:
(a) maintain an Official List of Securities;
(b) operate a Multilateral Trading Facility; or
(c) act as a Trade Repository,
the applicant must demonstrate to the satisfaction of the DFSA that it can meet the requirements applicable to Persons undertaking the relevant activities, both at the point of the grant of the endorsement and thereafter on an on-going basis.
Derived from RM118/2013 [VER15/07-13]
[Added] DFSA RMI310/2021 (Made 30th June 2021). [VER20/10-21]