DFSA Rulebook definition

DFSA Rulebook means the rulebook issued by the DFSA, as amended or modified from time to time, made up of topic-area modules which specify their scope and the audience to whom they apply;
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DFSA Rulebook means, collectively, the rules issued from time to time by theboard of directors of the DFSA pursuant to Article 23 of the Regulatory Law, DIFC Law No. 1 of 2004 (as amended).
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DFSA Rulebook means the comprehensive suite of rules administered by the DFSA, as amended from time to time.
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Examples of DFSA Rulebook in a sentence

  • Details of fees can be found in the Fees module of the DFSA Rulebook.

  • Fees For comprehensive details of fees, please refer to the Fees module of the DFSA Rulebook.

  • The DFSA will review the proposed activities to ensure that they are within the scope of an External Fund Manager of a DIFC domiciled fund as set out in the Collective Investment Rules Module (CIR) of the DFSA Rulebook.

  • The DFSA will review the proposed activities to ensure that they are within the scope of a Fund Manager managing Qualified Investor Funds set out in the Collective Investment Rules Module (CIR) and the General Rules Module (GEN) of the DFSA Rulebook.

  • Please consult the Anti-Money Laundering, Counter-Terrorist Financing and Sanctions Module (AML) of the DFSA Rulebook before confirming that appropriate arrangements are in place.

  • The DFSA will review the proposed activities to ensure that they are within the scope of a Representative Office as defined in Representative Office Module of the DFSA Rulebook.

  • Please refer to COB Rule 2.3 of the DFSA Rulebook in relation to the definitions for types of clients.

  • If the nominated Compliance Officer is not resident in the UAE, the applicant must also submit an SUP2 form applying for a waiver of GEN 7.5.2. In such cases, the applicant must demonstrate that it has sufficient resources and appropriate compliance oversight arrangements for the DIFC operation.CR27.An SUP2 form is only required where the applicant wishes to apply to have any of the DFSA Rules waived or modified.Fees For comprehensive details of fees, please refer to the Fees module of the DFSA Rulebook.

  • Please consult chapter 6 of the Representative Office Module (REP) of the DFSA Rulebook before confirming that appropriate arrangements are in place.Principal Representative RO14.

  • A Registered Auditor should be aware of, and comply at all times with, its AML obligations which are contained in the AML module of the DFSA Rulebook.

Related to DFSA Rulebook

  • FSA Rules meanss the rules, guidance, principles and codes comprised in the Handbook of Rules and Guidance issued by the FSA.

  • PRA Rules means the Rules included within the PRA handbook issued by the PRA.

  • M&A Rules means the Provisions on Merging and Acquiring Domestic Enterprises by Foreign Investors, which was promulgated by six Governmental Agencies, namely, the Ministry of Commerce, the State-owned Assets Supervision and Administration Commission, the State Administration for Taxation, the State Administration for Industry and Commerce, the China Securities Regulatory Commission (the “CSRC”), and the State Administration of Foreign Exchange, on August 8, 2006 and became effective on September 8, 2006, as amended by the Ministry of Commerce on June 22, 2009.

  • FCA Rules means the Rules included within the FCA Handbook issued by the FCA.

  • FINRA Rules means the Constitution, By-Laws, and Rules of Fair Practice of the Financial Industry Regulatory Authority, Inc. ("FINRA") and any interpretations thereof.

  • EU Bail-In Legislation Schedule means the EU Bail-In Legislation Schedule published by the Loan Market Association (or any successor person), as in effect from time to time.

  • CCASS Rules means the General Rules of CCASS and the CCASS Operational Procedures in effect from time to time;

  • House Rules means the specific rules that are adopted by a facility licensee to govern the operation of a licensed facility and events, and which must comply with these policies;

  • SEBI Listing Regulations means SEBI (Listing Obligation and Disclosure Requirements) Regulations, 2015, as amended

  • HKIAC Rules shall have the meaning ascribed to it in Section 10.13(a).

  • Benchmarks Regulation means Regulation (EU) 2016/1011 of the European Parliament and of the Council of 8 June 2016 on indices used as benchmarks in financial instruments and financial contracts or to measure the performance of investment funds and amending Directives 2008/48/EC and 2014/17/EU and Regulation (EU) No 596/2014;

  • Central Bank UCITS Regulations means the Central Bank (Supervision and Enforcement)

  • Hong Kong Listing Rules means the Rules Governing the Listing of Securities on The Stock

  • Regulatory Rules means all corporate and securities laws, regulations, rules, policies, notices, instruments and other orders of any kind whatsoever which may, from time to time, apply to the implementation, operation or amendment of this Plan or the Options granted from time to time hereunder including, without limitation, those of the applicable Regulatory Authorities.

  • AIM Rules means the rules published by the London Stock Exchange governing admission to AIM and the regulation of AIM companies as amended or re-issued from time to time;

  • PRA Handbook means the PRA Handbook of Rules and Guidance as amended from time to time.

  • PPB Rules means the rules of the Procurement Policy Board as set forth in Title 9 of the Rules of the City of New York (“RCNY”), § 1-01 et seq.

  • FSA means the Financial Services Authority.

  • Union harmonisation legislation means any Union legislation harmonising the conditions for the marketing of products;

  • FCA Handbook means the FCA Handbook of Rules and Guidance as amended from time to time.

  • Standards Authority means NERC, and the NERC regional entities with governance over PJM and NYISO, any successor thereof, or any other agency with authority over the Parties regarding standards or criteria to either Party relating to the reliability of Transmission Systems.

  • HIPAA Rules means the Privacy, Security, Breach Notification, and Enforcement Rules at 45 CFR Part 160 and Part 164.

  • CySEC Rules means the Rules, Directives, Regulations, Guidance notes, opinions or recommendations of CySEC.

  • Swiss Guidelines means, together, guideline S-02.123 in relation to interbank loans of 22 September 1986 (Merkblatt “Verrechnungssteuer auf Zinsen von Bankguthaben, xxxxx Xxxxxxxxx Xxxxxx sind (Interbankguthaben)” vom 22. September 1986), circular letter No. 47 in relation to bonds of 25 July 2019 (1-047-V-2019) (Kreisschreiben Nr. 47 “Obligationen” vom 25. Juli 2019), guideline S-02.130.1 in relation to money market instruments and book claims of April 1999 (Merkblatt vom April 1999 betreffend Geldmarktpapiere und Buchforderungen inländischer Schuldner), circular letter No. 46 of 24 July 2019 (1-046-VS-2019) in relation to syndicated credit facilities (Kreisschreiben Nr. 46 “Steuerliche Behandlung von Konsortialdarlehen, Schuldscheindarlehen, Wechseln und Unterbeteiligungen” vom 24. Juli 2019), circular letter No. 34 of 26 July 2011 (1-034-V-2011) in relation to deposits (Kreisschreiben Nr. 34 “Kundenguthaben” vom 26. Juli 2011), the circular letter No. 15 of 3 October 2017 (1-015-DVS-2017) in relation to bonds and derivative financial instruments as subject matter of taxation of Swiss federal income tax, Swiss withholding tax and Swiss stamp taxes (Kreisschreiben Nr. 15 “Obligationen und derivative Finanzinstrumente als Gegenstand der direkten Bundessteuer, der Verrechnungssteuer und der Stempelabgaben” vom 3. Oktober 2017) and the notification regarding credit balances in groups (Mitteilung 010-DVS-2019 of February 2019 betreffend “Verrechnungssteuer: Guthaben im Konzern”), each as issued, and as amended or replaced from time to time by the Swiss Federal Tax Administration, or as applied in accordance with a tax ruling (if any) issued by the Swiss Federal Tax Administration, or as substituted or superseded and overruled by any law, statute, ordinance, regulation, court decision or the like as in force from time to time.

  • Basel III Regulation means, with respect to any Affected Person, any rule, regulation or guideline applicable to such Affected Person and arising directly or indirectly from (a) any of the following documents prepared by the Basel Committee on Banking Supervision of the Bank of International Settlements: (i) Basel III: International Framework for Liquidity Risk Measurement, Standards and Monitoring (December 2010), (ii) Basel III: A Global Regulatory Framework for More Resilient Banks and Banking Systems (June 2011), (iii) Basel III: The Liquidity Coverage Ratio and Liquidity Risk Monitoring Tools (January 2013), or (iv) any document supplementing, clarifying or otherwise relating to any of the foregoing, or (b) any accord, treaty, statute, law, rule, regulation, guideline or pronouncement (whether or not having the force of law) of any governmental authority implementing, furthering or complementing any of the principles set forth in the foregoing documents of strengthening capital and liquidity, in each case as from time to time amended, restated, supplemented or otherwise modified. Without limiting the generality of the foregoing, “Basel III Regulation” shall include Part 6 of the European Union regulation 575/2013 on prudential requirements for credit institutions and investment firms (the “CRR”) and any law, regulation, standard, guideline, directive or other publication supplementing or otherwise modifying the CRR.

  • Scheme Rules means the applicable SEPA direct debit or credit transfer scheme rules of the European Payments Council as amended from time to time.