Rulebook Modules
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Anti-Money Laundering, Counter-Terrorist Financing and Sanctions Module (AML) [VER19/04-22]
- AML 1 Introduction
- AML 2 Overview and Purpose of the Module
- AML 3 Interpretation and Terminology
- AML 4 Applying a Risk-Based Approach
- AML 5 Business Risk Assessment
- AML 6 Customer Risk Assessment
- AML 7 Customer Due Diligence
- AML 8 Reliance and Outsourcing
- AML 9 Correspondent Banking, Electronic Fund Transfers and Audit
- AML 10 Sanctions and Other International Obligations
- AML 11 Money Laundering Reporting Officer
- AML 12 AML Training and Awareness
- AML 13 Suspicious Activity Reports
- AML 14 General
- AML 15 DNFBP Registration and Supervision
- AML 16 Transitional Rules
- Authorised Market Institutions (AMI) [VER21/04-22]
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Auditor Module (AUD) [VER05/04-22]
- Part 1 Introduction
- Part 2 Registered Auditors and Audit Principals
- Part 3 Appointment and Resignation of Auditor and Conduct of Audits
- AUD App 1 Regulatory Returns Auditors Report
- AUD App 2 Client Money Auditor's Report
- AUD App 3 Insurance Monies Auditor's Report
- AUD App 4 Safe Custody Auditor's Report
- AUD App 5 Fund Auditor's Report
- AUD App 6 Public Listed Company Auditor's Report
- AUD APP7 MONEY SERVICES AUDITOR'S REPORT
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Conduct of Business Module (COB) [VER39/10-21]
- COB 1 Introduction
- COB 2 Client Classification
- COB 3 Core Rules — Investment Business, Accepting Deposits, Providing Credit, Providing Trust Services, Operating a Crowdfunding Platform, Operating An Employee Money Purchase Scheme And Acting As The Administrator Of An Employee Money Purchase Scheme
- COB 4 Additional Rules — Accepting Deposits and Providing Credit
- COB 5 Additional Rules — Providing Trust Services
- COB 6 Additional Rules — Investment Business
- COB 7 Core Rules — Insurance
- COB 8 Specific Rules – Operating A Credit Rating Agency
- COB 9 Additional Rules: Operating an Alternative Trading System
- COB 10 Custody Providers Acting as a Central Securities Depository ("CSD")
- COB 11 Crowdfunding
- COB 12 OPERATING OR ACTING AS THE ADMINISTRATOR OF AN EMPLOYEE MONEY PURCHASE SCHEME
- COB 13 Providing Money Services And Arranging Or Advising On Money Services
- COB 14 Additional Requirements for Firms Providing Financial Services Relating to Investment Tokens
- COB App 1 Records of Orders and Transactions
- COB App 2 Key Information and Client Agreement
- COB App 3 Confirmation of Transactions
- COB App 4 Periodic Statements
- COB App 5 Client Money Provisions
- COB App 6 Safe Custody Provisions
- COB App 7 Providing Money Services And Arranging Or Advising On Money Services Provisions
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Collective Investment Rules (CIR) [VER/33/06-22]
- Part 1 Introduction
- Part 2 Definitional Provisions
- Part 3 Fund Functionaries
- Part 4 Core Rules Relating to Establishment and Management of Domestic Funds
- Part 5 Rules Specific to Different Types of Domestic Funds
- Part 6 Rules Specific to Specialist Classes of Domestic Funds
- Part 7 Marketing of Domestic and Foreign Funds
- Part 8 Transfer Schemes and Winding Up of Domestic Funds
- Part 9: [Deleted]
- CIR App 1 Delegation And Outsourcing
- CIR App 2 Meeting Procedures
- CIR App 3 Approvals and Notifications
- CIR App 4 Guidance On Asset Valuation And Pricing
- CIR App 5 Constitution of a Domestic Fund
- CIR App 6 Guidance on Fitness and Propriety for Oversight Functions [Deleted]
- CIR App 7 [Deleted]
- CIR App 7 Content of a Public Fund Prospectus
- CIR App 8 Guidance for Hedge Fund Managers
- CIR App 9 Use of Price Information Providers
- Fees Module (FER) [VER26/06-22]
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Fund Protocol Rules (FPR) [VER1/02-19]
- FPR 1 Introduction
- FPR 2 Passported Funds
- FPR 3 Procedure for Notification
- FPR 4 Registration of Non-DIFC Passported Funds
- FPR 5 Register of Passported Funds
- FPR 6 Management and Operation of a Passported Fund
- FPR 7 Fees
- FPR 8 De-Registration of Passported Funds
- FPR 9 Supervisory and Investigatory Powers
- FPR App 1 Minimum Requirements for Public Funds
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General Module (GEN) [VER55/06-22]
- GEN 1 Introduction
- GEN 2 Financial Services
- GEN 2A. Definition of Financial Product in the General Prohibition Against Misconduct
- GEN 3 Financial Promotions
- GEN 3 [Deleted]
- GEN 4 Core Principles
- GEN 5 Management, Systems and Controls
- GEN 6 General Provisions
- GEN 7 Authorisation
- GEN 8 Accounting and Auditing
- GEN 9 Complaints Handling and Dispute Resolution
- GEN 10 Transitional Rules
- GEN 11 Supervision
- GEN 12 Business Transfer Schemes
- GEN 13 Facilitating FinTech Innovation
- GEN App1 Deposits
- GEN App2 Investments
- GEN App3 Best Practice Relating to Corporate Governance and Remuneration
- GEN App4 Contracts of Insurance
- GEN App5 Trade Repository
- GEN App6 Investment Tokens
- GEN App5 [Deleted]
- GEN App6 [Deleted]
- Glossary Module (GLO) [VER54/06-22]
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Islamic Finance Rules (IFR) [VER18/10-21]
- IFR 1 Introduction
- IFR 2 Islamic Finance
- IFR 3 General Obligations
- IFR 4 Accounting and Auditing
- IFR 5 Managing Profit Sharing Investment Accounts
- IFR 6 Islamic Collective Investment Funds
- IFR 7 Offers of Islamic Securities
- IFR 8 Takaful Insurance
- IFR App 1 Prospectus Disclosures for Islamic Funds
- IFR App 2 Continuing Obligations
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Markets Rules (MKT) [VER18/10-21]
- MKT 1 Introduction
- MKT 2 Offer of Securities
- MKT 3 Governance of Reporting Entities
- MKT 4 Market Disclosure
- MKT 5 Accounting Periods and Financial Reports and Auditing
- MKT 6 Listed Funds and ATS Traded Funds
- MKT 7 Sponsors and Compliance Advisers
- MKT 8 Systems and Controls
- MKT 9 The Listing Rules
- MKT 9A Market Abuse
- MKT 9B Security Tokens Admitted to Trading on an Alternative Trading System
- MKT 10 Transitional Rules
- MKT Schedule A
- MKT App 1 Content of a Prospectus
- MKT App 2 Market Disclosure
- MKT App 3 Market Disclosure Relating to Listed Funds and ATS Traded Funds
- MKT App 4 Corporate Governance Best Practice Standards
- MKT App 5 List of Exempt Offerors
- MKT App 6 Continuing Obligations — Security Specific Disclosures
- MKT App 7 Additional Content of a Prospectus for Security Tokens
- Price Stabilisation Module (PRS) [VER7/04-18]
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Prudential — Insurance Business Module (PIN) [VER17/04-21]
- PIN 1 Application
- PIN 2 Management and Control of Risk
- PIN 3 Long-Term Insurance Business
- PIN 4 Capital Adequacy
- PIN 5 Measurement of Assets and Liabilities of Insurers
- PIN 6 Financial and Other Reporting by Insurers
- PIN 7 Actuaries
- PIN 8 Consolidated Supervision
- PIN 9 Insurers in Run-off
- PIN 10 Insurance Special Purpose Vehicles
- PIN App1 Guide to the Appendices
- PIN App2 Management and Control of Risk
- PIN App3 Calculation of Adjusted Capital Resources
- PIN App4 Calculation of Minimum Capital Requirement
- PIN App5 Calculation of Adjusted Non-Cellular Capital Resources and Adjusted Cellular Capital Resources
- PIN App6 Calculation of Minimum Non-Cellular Capital Requirement and Minimum Cellular Capital Requirement
- PIN App7 Calculation of Adjusted Fund Capital Resources
- PIN App8 Calculation of Minimum Fund Capital Requirement
- PIN App9 Calculation of DIFC Business Risk Capital Requirement
- PIN App10 Reporting to the DFSA
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Prudential — Investment, Insurance Intermediation and Banking Module (PIB) [VER42/06-22]
- PIB 1 Application, Interpretation and Categorisation
- PIB 2 General Requirements
- PIB 3 Capital
- PIB 4 Credit Risk
- PIB 5 Market Risk
- PIB 6 Operational Risk
- PIB 7 Interest Rate Risk in the Non-Trading Book
- PIB 8 Group Risk
- PIB 9 Liquidity Risk
- PIB 10 Supervisory Review and Evaluation Processes
- PIB 11 Disclosure Requirements
- PIB App1 Categories of Authorised Firms
- PIB App2 General Requirements
- PIB App3 Capital
- PIB App4 Credit Risk
- PIB App5 Market Risk
- PIB App6 Calculating the Operational Risk Capital Requirement
- PIB App7 Not Used
- PIB App8 Not Used
- PIB App9 Liquidity
- PIB App10 Supervisory Review and Evaluation Processes
- PIB App11 Public Disclosure Requirements
- Recovery and Resolution (RAR) [VER1/04-21]
- Recognition (REC) [VER12/01-18]
- Representative Office Module (REP) [VER11/09-21]
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Takeover Rules Module (TKO) [VER08/04-20]
- TKO 1 Introduction and the Takeover Principles
- TKO 2 The Approach, Announcements and Advice
- TKO 3 Restricted Dealings Before and During an Offer Period
- TKO 4 Mandatory Bids
- TKO 5 The Terms of a Voluntary Bid
- TKO 6 Provisions Applicable to All Bids
- TKO 7 Conduct During a Bid
- TKO 8 Documents Issued by Governing Bodies
- TKO 9 Profit Forecasts
- TKO 10 Asset Valuations
- TKO 11 Bid Timing and Revision
- TKO 12 Restrictions Following Bids
- TKO 13 Partial Bids
- TKO 14 Redemption or Acquisition of Own Capital
- TKO 15 [Deleted]
- TKO 16 Waivers or Modifications
- TKO 17 Enforcement
- TKO App1 Contents of Bid Documents
- TKO App2 Contents of Target Circulars
- TKO App3 Contents of Subsequent Documents
- TKO App4 [Deleted]
-
Archive
- Ancillary Service Providers (ASP)
- Anti Money Laundering (AML)
- Auditor Module (AUD)
- Authorisation (AUT)
- Authorised Market Institutions (AMI)
- Collective Investment Rules (CIR)
- Conduct of Business (COB)
- Data Protection Module (DAT)
- Designated Non-Financial Business and Professions Module (DNF) [VER1/06-11]
- Enforcement (ENF)
- Fees (FER)
- Fund Protocol Rules (FPR)
- General (GEN)
- Glossary (GLO)
- Islamic Finance Rules (IFR)
- Islamic Financial Business Module (ISF)
- Markets Rules (MKT)
- Offered Securities (OSR)
- Price Stabilisation Module (PRS)
- Prudential - Insurance Business (PIN)
- Prudential - Investment, Insurance Intermediation and Banking Business (PIB)
- Recognition (REC)
- Representative Office (REP)
- Supervision (SUP)
- Takeover Rules (TKO)