COB 9.6.7

An ATS Operator must not permit its facility to be used for trading Investments which are subject to foreign ownership restrictions unless it has adequate and effective arrangements to:

(a) monitor applicable foreign ownership restrictions;
(b) promptly identify and take appropriate action where any breaches of such restrictions occur without any undue interruption or negative impact to its trading activities; and
(c) suspend trading in the relevant Investments where the ownership restrictions are, or are about to be, breached and reinstate trading when the breaches are remedied.
[Added] DFSA RM123/2013 (Made 13th June 2013) [VER22/07-13]