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CHAPTER 1 – Authorised Market Institutions
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LEGAL ENTITIES LEGISLATION
FINANCIAL SERVICES LEGISLATION
REGULATIONS
FINANCIAL SERVICES FRAMEWORK REGULATIONS
PART 1: INTRODUCTION
PART 2: THE FRAMEWORK OF REGULATION
PART 3: LICENSING OF CENTRE PARTICIPANTS
PART 4: CONTROLLED AND DESIGNATED FUNCTIONS
PART 5: CONTROL OF AUTHORISED PERSONS
PART 6: CAPITAL MARKETS
CHAPTER 1 – Authorised Market Institutions
51. Requirement to have Business Rules
52. Approval and consultation on Business Rules
53. Legal effect of Business Rules
54. Enforcement of Business Rules
55. Persons eligible for Membership
56. AFSA power to require report from an Authorised Market Institution
57. AFSA power to impose requirements on an Authorised Market Institution
58. AFSA power to give directions to an Authorised Market Institution
59. Liability of Authorised Market Institutions and their Employees
CHAPTER 2 – Offer of Securities
CHAPTER 3 – Admission to trading
CHAPTER 4 – Listing
CHAPTER 5 – Prospectus Requirement
CHAPTER 6 – Misleading and deceptive statements or omissions
CHAPTER 7 – Obligations of Reporting Entities
CHAPTER 8 – Prevention of Market Abuse
CHAPTER 9 – Takeovers
CHAPTER 10 – Recognition
PART 7: COLLECTIVE INVESTMENT SCHEMES
PART 8: SUPERVISION
PART 9: ENFORCEMENT
PART 10: CONFIDENTIALITY
PART 11: CO-OPERATION AND EXCHANGE OF INFORMATION
PART 12: RECOVERY AND RESOLUTION
PART 13: Miscellaneous
SCHEDULE 1: Decision-making procedures of the AFSA
SCHEDULE 2: Appeal to the AIFC Court
RULES
POLICIES AND POLICY STATEMENTS
NOTICES
GUIDANCE
TEMPLATE
CONSULTATION PAPERS
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PART 6: CAPITAL MARKETS
51. Requirement to have Business Rules
51. Requirement to have Business Rules
52. Approval and consultation on Business Rules
53. Legal effect of Business Rules
54. Enforcement of Business Rules
55. Persons eligible for Membership
56. AFSA power to require report from an Authorised Market Institution
57. AFSA power to impose requirements on an Authorised Market Institution
58. AFSA power to give directions to an Authorised Market Institution
59. Liability of Authorised Market Institutions and their Employees