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REC 3.4.5 Suspected Market Abuse

(1) A Recognised Member must notify the DFSA immediately if it:
(a) receives an order from a Client, or arranges or executes a transaction with or for a Client; and
(b) has reasonable grounds to suspect that the order or transaction may constitute Market Abuse.
(2) The notification under (1) must specify:
(a) sufficient details of the order or transaction; and
(b) the reasons for the Recognised Member suspecting that the order or transaction may constitute Market Abuse.
(3) A Recognised Member must not inform the Client, or any other Person involved in the order or transaction, of a notification under this Rule.
Derived from DFSA RM191/2016 (Made 7th December 2016). [VER11/02-17]