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COB 9.4.1 Guidance

1. A Reporting Entity of Security Tokens that are admitted to trading by an ATS Operator under COB Rule 9.4.1(a)(ii) will be subject to the requirements imposed on Reporting Entities in MKT. An ATS Operator should therefore assess whether a prospective Reporting Entity is capable of meeting those requirements before admitting its Security Tokens to trading.

 

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