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COB 14.2.3 Guidance

1. To satisfy the DFSA of the matters referred to in COB Rule 14.2.3(1), an ATS Operator should, as a minimum, be able to demonstrate that it has effective procedures built into its DLT or similar technology application being used that enable:
(a) the clear identification of each Direct Access Member accessing its facility to trade; and
(b) the monitoring of bid and offer prices and volatility for any indications of market manipulation or abuse.

 

Derived from DFSA RMI311/2021 (Made 30th June 2021). [VER39/10-21]