- Guidance: Purpose of this rulebook
- COLLECTIVE INVESTMENT SCHEME RULES
- [deleted]
- 2.4. Specialist Funds
- 2.5. Secondary transactions and excluded Offers
- 3.1. Application
- 3.20. Carried interest vehicles
- 6.10. Specific rules regarding investment in Real Property by Non-Exempt Funds and Real Estate Investment Trusts
- 6.11. Rules relating to Real Estate Investment Trusts
- 8.1. Application
- Authorised Crowdfunding Platform
- 10.4. Auditor of a Non-Exempt Fund and a Real Estate Investment Trust
- 1.1.1. Definitions
- Authorised Investment Exchange
- 3.1.6. Tick size regimes
- 3.1.1. Fair and orderly trading
- 3.1.7. Short selling and position management
- 3.1.2. Execution of orders
- 3.1.3. Publicly available data on quality of executions
- 3.1.4. Market making arrangements
- 3.1.5. Trading controls
- 3.1.8. Liquidity incentive schemes
- 3.1.9. Settlement and Clearing facilitation services
- 3.2.1. Admission to Trading Rules
- 3.2.2. Content of Admission to Trading Rules
- 3.3.5. Publication of decision to lift suspension or re-admit to trading
- 3.2.4. Review of compliance
- 3.2.5. Verification of compliance by issuers with Market Rules
- 3.2.6. Arrangements for access to information
- 3.3.1. Power to suspend
- 3.3.2. Limitation on power to suspend or remove Securities or Units in a Listed Fund from trading
- 3.3.3. Suspension or removal from trading of associated derivatives
- 3.3.4. Publication of decision to suspend or remove from trading
- 3.4.1. Pre-trade transparency obligation
- 3.4.2. Post-trade transparency obligation
- 3.5.1. Default Rules
- 3.5.2. Public notice of suspended or terminated Membership
- 3.5.3. Cooperation with office-holder
- 3.6.1. General requirements relating to Listing Rules
- 3.6.2. Contents of Listing Rules
- 3.6.3. Publication of Listing Rules
- 3.6.4. Compliance with Listing Rules
- 3.6.5. Application for admission of Securities or Units in a Listed Fund to an Official List
- 4.6.4. Cooperation with other authorities
- 5.2.7. Notification of admission to or removal from trading
- 5.2.8. Notification of removal from or admission to clearing
- 11. Arranging Deals in Investments
- 12. Managing a Restricted Profit Sharing Investment Account
- 4. Managing a Collective Investment Scheme
- 9. Acting as the Trustee of a Fund
- 10. Advising on Investments
- 7.1.1 The terminology used in this Chapter 7 varies according to the type of Authorised Crowdfunding Platform:
- 7.3.2 Crowdfunding risk disclosure
- 7.3.4 Information about the service and lender or Investor education tools
- 7.3.5 Risk acknowledgement form
- 7.3.7 Disclosure of information about the Borrower or Issuer
- 7.3.8 Disclosure of information about the Permitted Loan or Permitted Investment
- 7.3.9 Proposals not to be advertised outside platform
- 7.3.12 Equal treatment of lenders or Investors
- 7.3.13 No suitability disclosure
- 7.3.21 Cooling-off period
- 2.1. Risk-Based Capital Requirement
- 14.3.5 Application of TRR 6 (Investment)
- 5. MARKET ABUSE
- 1.1.1. Application procedure
- 1.1.2. Required contents
- 1.1.3. Recognition Requirements
- 1.1 Name
- 1.5 Definitions etc.
- 2.3. Conditions for issue of Uncertificated Investments and dematerialisation
- 4.4. No Certificates of Title in relation to Uncertificated Investments
- 4.2. Substitution of tangible documentary requirements
- 4.3. Instructions to transfer Uncertificated Investments
- 5.2. Conditions for rematerialisation
- SCHEDULE 1: INTERPRETATION
- Guidance: Purpose of this Rulebook
- PRUDENTIAL RULES FOR INVESTMENT FIRMS
- 1.1 Introduction
- 1.3 Application of PRU(INV) Rules
- 2.1.1 Governing Body’s responsibilities
- 2.2.3 Intervention power of AFSA
- 2.1.2 Systems and controls
- 2.2.1 Financial resources
- 2.2.2 Financial resources—Externally Regulated PRU Investment Firms
- 3.1 Application of Chapter 3
- 3.2 References to Capital Resources and currencies
- 3.3 Minimum Capital Requirement
- 4.1 Application of Chapter 4
- 4.2 Liquid Assets requirement
- 4.3 Calculating Liquid Assets
- 4.4 Calculating Annual Operating Expenditure
- 5.1 Application of Chapter 5
- 5.2 Application of Chapters 3 and 4 to Financial Groups
- 5.3 Accepting deposits
- 6.1 Introduction
- 6.2 Preparing Returns
- 6.3 Signing Returns
- 6.4 Reductions in paid-up share capital and other capital instruments
- 6.5 Breaches of PRU(INV)
- 6.6 Externally Regulated PRU Investment Firms
- 1.3 Application of these PRU(INT) Rules
- 5.2 Preparing Returns
- 1.5.5. Obligations in respect of Investments
- 14.3.5. Application of PINS 6 (Investment)
- 86. Market Abuse
- 89. Recognition of Non-AIFC Market Institutions
- 90. Exemption for Recognised Non-AIFC Market Institutions from General Prohibition
- 93. Registration of Collective Investment Schemes
- 13. Islamic Banking Business
- Financial Product
- 1. Dealing in Investments as Principal
- 3. Managing Investments
- 2. Dealing in Investments as Agent
- 16. Operating a Representative Office
- 18. Providing Credit
- 5. Operating an Investment Crowdfunding Platform
- 2.4.1. Requirements to be a Deemed Professional Client
- 3.4.5. Restriction on Unsolicited Real Time Financial Promotions
- 3.4.6. Restriction on nature of Investments
- 5.2.6. Insufficient information
- 5.2.5. Knowledge and experience
- 5.1.2. Application of requirement to assess appropriateness
- 5.2.2. Nature of suitability assessment
- 5.2.3. Investment objectives
- 5.3.1. Requirement to assess appropriateness
- 6.1.3. Best execution with or for Retail Clients
- 5.3.2. Exemption from requirement to assess appropriateness
- 5.3.3. Exempt Investments for the purposes of COB 5.3.2
- 5.3.4. Nature of appropriateness assessment
- 6.1.2. Best execution obligation
- 5.3.5. Client's knowledge and experience
- 5.3.7. Warning the Client
- 8.3.1. Meaning of Client Investments
- 8.3.2. Exceptions to the Client Investments Rules
- 8.3.4. Client Investment Accounts
- 8.3.6. Registration and recording of Client Investments
- 8.3.11. Use of Client Investments for the purposes of the Authorised Firm or another Person
- 9.1.2. Providing trade confirmations
- 9.2.1. Requirement to provide periodic statements
- 10.1. Application
- 10.2. Conflicts of interest
- 10.7. Restrictions on publication during public offer
- 10.3.1. Restrictions on investment analysts
- 10.3.2. Restrictions on own account transactions
- 10.4. Physical separation
- 10.5. Key information
- 10.6. Disclosure of conflicts of interests
- 19.3.1. Non-Investment Insurance Contracts —right to cancel
- 19.3.2. Non-Investment Insurance Contracts—when cancellation right can be exercised
- SCHEDULE 2: KEY INFORMATION AND CONTENT OF CLIENT AGREEMENT
- Foreign Fund
- Fund
- 1.9. Islamic Banking Business
- 5.3. Independence of SSB
- 5.3. Independence of SSB
- Guidance
- 7.1. Application
- 7.5. SSB for an Islamic Investment Fund
- 7.9. Investments in other Funds
- 8.1. Application
- 8.3. Continuing disclosures relating to Islamic Securities or Units in an Islamic Investment Fund that is a Listed Fund
- 2.1. Risk-Based Capital Requirement
- Risk-Weighted Assets Amount
- 1. Dealing in Investments as Principal
- 2. Dealing in Investments as Agent
- 3. Managing Investments
- 4. Managing a Collective Investment Scheme
- 9. Acting as the Trustee of a Fund
- 10. Advising on Investments
- 11. Arranging Deals in Investments
- 12. Managing a Profit Sharing Investment Account
- 14. Operating a Representative Office
- Admission to Trading Rules
- AIFC Operation
- Approved ECAI
- CIS
- Collateral
- Investment Business
- Credit Conversion Factor
- Domestic Fund
- Equivalent Regulated Exchange for Listed Funds
- Exempt Fund
- Listing Rules
- Market Contract
- Market Making Agreement
- Market Making Strategy
- Non-Exempt Fund
- Offer of Securities
- Offer of Units
- Official List
- Overseas Listed Fund
- Packaged Product
- Personal Transaction
- Risk-Weight
- Recognised NonAIFC Investment Exchange
- Recognised NonAIFC Market Institutions
- Recognition Requirements
- Third Party Account Provider