The main purpose of the committee established by the Authority to monitor companies on the watch list is to ensure that they:
The DFM’s Professional Code of Conduct requires brokerage firms to take reasonable steps to determine the identity of their clients. For natural persons, this should include:
An obligor with a retail primary listing of Sukuk immediately notified the Authority when one of its board directors was replaced. Why was the obligor considered to be in breach of its continuing obligations?
The contract size for trading in Silver Futures on the Dubai Gold & Commodities Exchange is 1,000 troy ounces of refined silver, plus or minus what prescribed margin?
What is the minimum fine that can be levied on a person found guilty of financing an illegal organisation?
If there is a material change in the nature of the relevant software, the regulations state that investors who have accepted an offer of crypto assets must be notified:
For all local funds, a semi-annual report on the public fund’s performance must be prepared no later than:
In a ranking and advice firm, which approved job role would undertake the activities of a listing consultant?
A public joint-stock company is automatically prevented by the regulations from executing a buyback transaction if it:
A real estate investment fund may borrow no more than what percentage of its total assets value?
