MKT 2.2.1

For the purposes of Article 12(c) of the Law, in addition to the Exempt Communications specified in the Law, a communication is hereby prescribed by the DFSA as an Exempt Communication if it is made:

(a) in connection with the trading of Securities that are listed and traded on a Regulated Exchange, or the trading of Security Tokens that are traded on an Alternative Trading System; and
(b) in the ordinary course of business of an Authorised Firm or Recognised Member.
Derived from RM81/2011 (Made 30th November 2011). [VER1/11-11]
[Added] DFSA RMI313/2021 (Made 30th June 2021). [VER18/10-21]