Regulatory Alerts2014-09-15
Notice of Consultation Paper Release (15 Sep 2014)
The Dubai Financial Services Authority (DFSA) released Consultation Papers 97 and 98 to propose amendments to the client classification regime and establish a new code of market conduct. Market participants must submit written feedback on these regulatory updates by 15 October 2014. The finalized measures will directly alter compliance obligations and market behavior standards for licensed financial services firms.
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15 Sep 2014, 12:09 pm
Notice of Consultation Paper Release
TAKE NOTICE THAT:
The DFSA has released the following for Consultation:
Consultation Paper No. 97 – Proposed Changes to the Client Classification Regime
Consultation Paper No. 98 – Proposed Code of Market Conduct
The deadline for providing comments on these consultation papers is 15th October 2014.
These papers can be viewed on the DFSA website or by clicking on the above link.
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