GEN A2.4.1 Guidance

1.  The terms and conditions that may be imposed on a declaration made by the DFSA under GEN Rule A2.4.1(1) can include who should be the Reporting Entity and the type of disclosure requirements that should apply to that Reporting Entity.
2.  If any issuer of a new financial instrument has any doubt as to whether that instrument can be included in an Official List of Securities as a particular type of a Security, that Person should first raise those issues with the relevant Authorised Market Institution before making an application to the DFSA for the exercise of the declaration power under this Rule. The DFSA has a discrete power to object to any proposed inclusion of a Security in an Official List of Securities of an Authorised Market Institution (see Article 34(1) of the Markets Law 2012).
[Added] DFSA RM62/2008 (Made 4th January 2009). [VER22/01-09]
[Amended] DFSA RM95/2012 (Made 14th June 2012). [VER29/06-12]