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DFSA | THE INDEPENDENT REGULATOR OF FINANCIAL SERVICES
  • About us
    • Who we are
      • The DFSA
      • Governance
      • How we regulate
      • International Assessment
      • Corporate Social Responsibility
    • Our structure
      • Board of Directors
      • Executive Team
      • Financial Markets Tribunal
    • DFSA Journey
  • Laws & rules
    • Legal Resources
      • Legislation
      • Consultation Papers
      • Policy Statements
      • Amendments to Legislation
    • DFSA Rulebook
    • DFSA Administered Law
  • What we do
    • AML, CTF & Sanctions Compliance
      • Summary
      • Regulatory Framework
      • Supervisory Methodology
      • Overview of DFSA AML/CTF & Sanctions Obligations
      • Standard-Setters / International Organisations Followed
    • Authorisation Services
      • Overview
      • Authorised Firms
      • Authorised Individuals
      • Authorised Market Institutions
      • Registered Auditors
      • Registered DNFBPs
      • Getting Help
      • Expanding Your Business
    • Collective Investment Funds
    • DFSA Listing Authority
      • Checklists
      • Forms
      • Approved Documents
      • Disclosure Database
      • Regulatory Announcement Services
      • Official List of Securities
      • Knowledge Base
      • Delisted Securities
    • Enforcement
      • About Enforcement
      • Regulatory Actions
    • International Relations
      • How We Regulate
      • International Assessment
    • Policy, Strategy and Risk
    • Recognition
      • About Recognition
      • Recognised Bodies
      • Recognised Members
    • Supervision
      • About Supervision
      • Audit Supervision
      • Cyber Risk Supervision
      • Insurance Supervision
      • Operational & Technology Risk Supervision
  • Public register
  • Resources
    • Consumer
      • Investment Guide
      • Complaints
    • Regulatory
      • Consultation Papers
      • Discussion Papers
      • Laws and Rules
      • System Reporting
      • Guides & Handbooks
      • Speeches & Presentations
      • FAQs
      • Forms
      • Checklists
      • Fees
    • Publications & Reports
      • Annual Report
      • DFSA in Action
      • Business Plan
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DFSA Rulebook

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Dubai Financial Services Authority (DFSA)

  • Dubai Financial Services Authority (DFSA)
    • Laws
      • Collective Investment Law
      • Investment Trust Law
      • Law Regulating Islamic Financial Business
      • Markets Law
      • Regulatory Law
        • Part 1: General
        • Part 2: The DFSA
          • Chapter 1 — The Structure of the DFSA
          • Chapter 2 — The DFSA Board of Directors
          • Chapter 3 — Rules
          • [Deleted]
          • Chapter 4 — The Financial Markets Tribunal
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          • Chapter 5 — Proceedings in the Financial Markets Tribunal
          • Chapter 6 — The Chief Executive of the DFSA
          • Chapter 7 — Conflicts of Interest and Use of Information
          • Chapter 8 — Other Regulators
        • Part 3: Licences, Authorisation and Registration
        • Part 4: General Regulation and Anti-Money Laundering Provisions
        • Part 5: Powers of Supervision and Investigation
        • Part 5A: Recovery and Resolution
        • Part 6: Contraventions and Fines
        • Part 7: Enforcement
        • Part 8: Accounting and Auditing
        • Part 9: Control of Financial Services Transfers
        • Part 10: Miscellaneous
        • Schedule 1 Interpretation
        • Schedule 2 The DFSA
        • Schedule 3 Decision-making Procedures
      • Archive
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