Request for admission to the Official List of Securities

Application to the DFSA for seeking admission to the Official List of Securities under the DFSA regulatory framework.

SERVICE FEES: Variable (fees depend on the type of security and complexity).
PAYMENT METHODS: Bank Transfer

Service Process

Enquire

Generate and get your
enquiry screened

Apply

Submit your
application

Evaluate

Undergo application
review

Fulfil

Complete invoicing
and acceptance

Approve

Receive service delivery
and approval

Service Pre-requisites

Compliance with Markets Rules, Islamic Finance Rules, Price Stabilisation Module and Fees Module.
Submission of the Online MKT1 Form.
Follow guidance in Markets Briefs (MB)...

Required Documents

The application should include the documents required under Chapters 2 and 6 of Markets Rules (MKT). The DFSA may require additional documents and information, if needed.

Service Fees

The Fees will vary depending on the type of security and complexity.

Enquire

Apply

Evaluate

Fulfil

Approve

Contact the DFSA Markets team for guidance on the process and requirements for admission to the Official List of Securities.

Duration
Not specified.

Channel
DFSA Website

Document
Not applicable.

Complete and save the application form on the DFSA e-Portal. The DFSA will issue a fee invoice. Upon payment, the application will be processed.

Duration
Not specified.

Channel
DFSA Website

Document
Documents required under Chapters 2 and 6 of Markets Rules (MKT).

The DFSA will review the application and may request additional information in case of insufficient submission.

Duration
Not specified.

Channel
Email/Phone/Website

Document
Additional documentation if requested by the DFSA.

Meet any conditions or provide additional information as requested by the DFSA during the evaluation process.

Duration
Not specified.

Channel
Email/Phone/Website

Document
Any additional documentation requested by the DFSA.

If the assessment is successful, the DFSA will approve the application and grant admission to the Official List of Securities.

Duration
Not specified.

Channel
Email/Phone/Website

Document
None unless specified by the DFSA.

Paired Services

Request for New Authorisation
Financial Services

Request authorisation to carry Financial Services in or from the DIFC.

Request for New Authorisation
Representative Offices

Obtain authorisation to operate a Representative Office in the DIFC.

Request for New Authorisation
Credit Rating Agencies

Obtain authorisation to operate as a Credit Rating Agency in or from the DIFC.

Request for Information to DFSA
Supervision

Seek clarification or guidance on specific regulatory requirements of supervisory processes.

Request for Amendment of
Supervision Scope

Apply to change the scope of your licence

Request for Amendment to
Ownership and Control Structure

Notify, or seek approval from, the DFSA on changes in the ownership or control structure of your Authorised Firm.

Withdraw
Authorisation

Request to withdraw your licence as an Authorised Firm, ceasing to carry Financial Services in or from the DIFC.

Submit
Reports

Submit financial reports produced by your auditor.

Submit
Notifications

Submit Notifications

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