Sourcebook Modules
- Application Forms and Notices Module (AFN) [VER51/01-20]
-
Code of Market Conduct (CMC) [VER3/08-17]
- CMC 1 Introduction
- CMC 2 Market Manipulation and Fraud
- CMC 3 Dissemination of False or Misleading Information
- CMC 4 Use of Fictitious Devices and Other Forms of Deception
- CMC 5 False or Misleading Conduct and Distortion
- CMC 6 Insider Dealing
- CMC 7 Providing Inside Information
- CMC 8 Inducing Another Person to Deal
- CMC 9 Misuse of Information
- CMC 10 Specific Market Practices
- CMC 11 Enforcement Powers
- Prudential Returns Module (PRU) [VER5/02-19]
-
Regulatory Policy and Process Sourcebook (RPP) April 2022 Edition
- RPP 1 Introduction
- RPP 2 Authorisation — Becoming Regulated
- RPP 3 Supervision — Being Regulated
- RPP 4 Supervisory and Enforcement Powers
- RPP 5 Enforcement
- RPP 6 Penalty Guidance
- RPP 7 Decision Making
- RPP 8 Confidential Regulatory Information
- RPP 9 Waivers and Modifications
- RPP 10 Permissible Company and Trading Names for Entities Established in the DIFC
- Appendix 1 [Deleted]
-
Notices of Updates
- Regulatory Policy and Process Module - February 2020 Edition
- Regulatory Policy and Process Module - February 2017 Edition
- Regulatory Policy and Process Module - February 2016 Edition
- Regulatory Policy and Process Module - July 2015 Edition
- Regulatory Policy and Process Module - May 2015 Edition
- Regulatory Policy and Process Module - February 2015 Edition
- Regulatory Policy and Process Module - November 2014 Edition
- Regulatory Policy and Process Module - August 2014 Edition
- Regulatory Policy and Process Module - July 2013 Edition
- Regulatory Policy and Process Module – December 2012 Edition
- Regulatory Policy and Process Module – July 2012 Edition
- Archive