Rules and Regulations

Notice:
If there is any confusion or ambiguity in the content of the English text of this legislation, please refer to the Arabic version as the official version adopted.


No.	Issue Date	SCA Law	Source
1	29/01/2000	FEDERAL LAW No (4) OF 2000 CONCERNING THE EMIRATES SECURITIES & COMMODITIES AUTHORITY AND MARKET	President of the UAE

No.	Issue Date	Regulations	Source
1	03/07/2000	DECISION NO (11) OF 2000 CONCERNING THE REGULATIONS AS TO MARKET LICENSING AND SUPERVISION	The Council of Ministers
2	03/07/2000	DECISION NO (12) OF 2000 CONCERNING THE REGULATIONS AS TO THE LISTING OF SECURITIES AND COMMODITIES	The Council of Ministers
3	03/07/2000	DECISION NO (13) of 2000 CONCERNING THE REGULATIONS AS TO THE FUNCTIONING OF THE SECURITIES & COMMODITIES AUTHORITY	The Council of Ministers
4	08/04/2000	DECISION NO (1/R) OF 2000 CONCERNING THE REGULATION AS TO BROKERS	SCA Board
5	05/11/2000	DECISION NO (2/R)OF 2000 CONCERNING THE REGULATIONS AS TO MEMBERSHIP OF THE MARKET	SCA Board
6	05/11/2000	DECISION NO (3/R) OF 2000 CONCERNING THE REGULATIONS AS TO DISCLOSURE AND TRANSPARENCY	SCA Board
7	05/02/2001	DECISION NO (1) OF 2001 CONCERNING THE REGULATIONS AS TO THE ARBITRATION OF DISPUTES ARISING FROM THE TRADING OF SECURITIES AND COMMODITIES	SCA Board
8	18/02/2001	DECISION NO (2/R) OF 2001 CONCERNING THE REGULATIONS AS TO TRADING, CLEARING, SETTLEMENT, TRANSFER OF OWNERSHIP AND CUSTODY OF SECURITIES	SCA Board
9	29/04/2001	DECISION NO (3\R) OF 2001 CONCERNING THE REGULATIONS AS TO THE FUNCTIONING OF THE MARKET	SCA Board
10	06/02/2002	DECISION NO (7\R) OF 2002 CONCERNING THE LISTING OF FOREIGN COMPANIES	SCA Board
11	31/05/2003	DECISION NO (70\R) OF 2003 CONCERNING THE OPENING OF TRADING FLOORS	SCA Board
12	07/02/2005	DECISION NO (93/R) OF 2005 CONCERNING THE LISTING OF ISLAMIC BONDS	SCA Board
13	07/02/2005	DECISION NO (94/R) OF 2005 CONCERNING THE LISTING OF DEBT SECURITIES	SCA Board
14	31/10/2005	DECISION No. (157\R) OF 2005 CONCERNING THE REGULATIONS AS TO LISTING AND TRADING OF COMMODITIES AND COMMODITIES CONTRACTS	SCA Board
15	20/09/2007	DECISION NO (66/R) OF 2007 CONCERNING THE REGULATIONS AS TO Rules & Accounts Separation Mechanism at the Brokerage Firms	SCA Board
16	20/09/2007	DECISION NO (67/R) OF 2007 CONCERNING THE REGULATIONS AS TO On Line Trading	SCA Board
17	11/06/2008	DECISION NO (25/R) OF 2008 CONCERNING THE REGULATIONS AS TO Margin Trading	SCA Board
18	11/11/2008	DECISION NO (43/R) OF 2008 CONCERNING THE REGULATIONS AS TO Dual Listing	SCA Board
19	16/12/2008	DECISION NO (48/R) OF 2008 CONCERNING THE REGULATIONS AS TO Financial Consultancy & Financial Analysis	SCA Board
20	02/07/2009	Decision No. (29/R) of 2009 Concerning The Regulation of Securities’ Safe Custody Activities	SCA Board
21	02/07/2009	Decision No. (33/R) of 2009 Concerning the Regulation of the Function of the Keeper of Private Shareholding Companies Register	SCA Board

No.	Issue Date	Decisions / Circulars	Source
1	06/02/2002	THE FEES DUE TO THE AUTHORITY IN IMPLEMENTATION OF THE PROVISIONS OF FEDERAL LAW No. (4) OF 2000	SCA Board
2	18/02/2004	Circular Concerning Procedures for Anti-Money Laundering	SCA Board
3	31/10/2005	RESOLUTION NO. (158/R) OF 2005 CONCERNING THE FEES DUE TO THE AUTHORITY AS PRESCRIBED FOR DUBAI GOLD AND COMMODITIES EXCHANGE	SCA Board
4	14/06/2006	DECISION NO (113/R) OF 2006 CONCERNING THE REGULATIONS AS TO Requirements & Regulatory Rules of Applying Article (168) of the Commercial Companies Law	SCA Board
5	10/12/2006	DECISION NO (197/R) OF 2006 CONCERNING THE REGULATIONS AS TO The Due Fees on Debentures & Islamic Sukuk	SCA Board
6		Technical rules and requirements for the telephone recording system in brokerage companies
7	14/12/2008	The Ministerial Resolution no. (728) of 2008 Concerning the Securitas Book-Building	Minister of Economy and SCA's Chairman
8	2/7/2009	Ministerial Resolution No. (370) of 2009 Concerning The Share Register of Private Shareholding Companies.	Minister of Economy and SCA's Chairman
9	29/10/2009	Ministerial Resolution No. (518) of 2009 Concerning The Criteria of Governance and Standards for Institutional Discipline	Minister of Economy and SCA's Chairman
10	8/2/2009	Ministerial Resolution No. (70) of 2009 Concerning Committees set to evaluate real shares of public joint venture companies	Minister of Economy and SCA's Chairman