Annex F Glossary (GLO)

In this Annex, underlining indicates new text and striking through indicates deleted text.

Authorised Person

An Authorised Firm or an Authorised Market Institution.

Business Rules

The written rules of an Authorised Market Institution which govern its activities as an Authorised Market Institution.


An investment Investment that gives the an investor the right to convert the Security into equity another form of Security at an agreed price or on an agreed basis.

Exempt Offer

Has the meaning given in OSR rule 2.4.3.

Issue Note

A document forming part of a Prospectus containing the information required under OSR rule 7.4.2(b).

Key Individuals

Employees of an Authorised Market Institution assigned to oversee a Regulatory Function.

Licensing Requirements

The requirements set out in section 7.2 of AMI in relation to the granting of a Licence to an Authorised Market Institution.

Market Misconduct

Conduct which contravenes a provision contained in chapter 1 of Part 8 of the Markets Law 2004.


Means any Person admitted as a Member to an Authorised Market Institution in accordance with the Authorised Market Institution's Business Rules.

Money Laundering Reporting Officer (MLRO)

For the purposes of AMI, an individual who is a Director, Partner or other appropriately senior Employee of an Authorised Market Institution who has responsibility for the Authorised Market Institution's compliance with the Rules in chapter 11 and any relevant Money Laundering legislation applicable to the AMI.

The Licensed Function described in AUT rule 10.2.2(g).

Price Sensitive

Information of a type which is liable to cause substantial movement in the price of Securities or (in the case of Debentures) to affect significantly the ability of the Issuer to meet its commitments.

Qualified Invester

A Person specified in OSR rule 3.3.2.


The status acquired by a Person to whom the DFSA has issued a Recognition Notice pursuant to Article 61 of the Regulatory Law 2004.

Recognised Person

A Recognised Body or a Recognised Member.

Registration Statement

A document forming part of a Prospectus containing the information required under OSR rule 7.4.2(a).