{ "node": "ae-cm-kg", "door": "https://mcp.ae-cm-kg.ai", "market": "ae", "jurisdiction_namespace": "ae-eco-10060", "chapter": "ae.chapter.v12", "source": "Book of Markets mirror (allooloocmkgapex/book), read at request time", "kind": "book-section", "family": "ECO", "version": "ae.eco.v4", "supersedes": "ae.eco.v3", "book_path": "ae/sections/ae.eco.v4.json", "book_sha256": "sha256:b8d546c1d024e2880490e221eadb1a7647ef58e60d77f9c6a55f0d3c750a6a7a", "section": { "section_id": "book:ae:eco", "family": "ECO", "schema": "SM-ECO-10060 canonical text v1.0 (2026-10-30) · chapter schema v0.1 (unratified) · Appendix A", "schema_version": "0.1", "version": "ae.eco.v4", "supersedes": "ae.eco.v3", "market": "ae", "node": "ae-cm-kg", "produced_at": "2026-10-31T01:55:20Z", "observed": { "earliest_read": "2026-10-23", "latest_read": "2026-10-31T01:55:12Z" }, "fields": [ { "name": "jurisdiction_scope", "value": "not_found", "read_at": "2026-10-31T01:52:33Z", "pages_checked": [ "https://uaelegislation.gov.ae/en/legislations/2672", "https://www.dfsa.ae/application/files/2915/8554/6898/MASClearsightLimited_4.pdf", "https://uaelegislation.gov.ae/en/search", "https://uaelegislation.gov.ae/en/legislations/2309/regulations/858/download", "https://www.uaecma.gov.ae/en/home.aspx", "https://www.uaecma.gov.ae/assets/5b93d7b5/the-chairman-of-the-authoritys-board-of-directors-decision-no-13chairman-of-2021-on-the.aspx", "https://www.uaecma.gov.ae/en/regulations/regulations-listing.aspx?id=105", "https://www.uaecma.gov.ae/en/services/financial-activity-licenses", "https://legislation.uaecma.gov.ae/en/article-8-meeting-clients-suitability-and-appropriateness-standards", "https://dfsaen.thomsonreuters.com/rulebook/cob-342" ], "conflict": { "values": [ { "value": { "regime": "DFSA licensing of Financial Services carried on in or from the DIFC" }, "source_url": "https://www.dfsa.ae/application/files/2915/8554/6898/MASClearsightLimited_4.pdf", "quote": "suspended MAS’ Licence to carry on Financial Services in or from the DIFC.", "source_date": null } ], "reason": "review PARTIAL: PARTIAL\n\nThe excerpt confirms the DFSA's jurisdiction over licensing and suspending financial services in or from the DIFC, but the claimed value focuses on \"DFSA licensing\" generally, while the suppo", "selection_rule": "none — unresolved (BOOK-02 records, does not resolve)" } }, { "name": "competent_authorities", "value": "Capital Market Authority (CMA), formerly the Securities and Commodities Authority (SCA)", "read_at": "2026-10-23", "pages_checked": [ "https://www.uaecma.gov.ae/en/home.aspx" ], "source_url": "https://www.uaecma.gov.ae/en/home.aspx" }, { "name": "duty_map", "value": [ { "duty": "SCA (now CMA) suitability — Rulebook (Manual of the Financial Activities, Chairman Resolution No. 13/Chairman of 2021), Section Three, Ch. 2, Art. 8 (onshore); DFSA Rulebook COB 3.4 Suitability (DIFC)" } ], "read_at": "2026-10-23", "pages_checked": [ "https://legislation.uaecma.gov.ae/en/article-8-meeting-clients-suitability-and-appropriateness-standards", "https://dfsaen.thomsonreuters.com/rulebook/cob-342", "https://mcp.getissuer.ai/mcp" ], "source_url": "https://legislation.uaecma.gov.ae/en/article-8-meeting-clients-suitability-and-appropriateness-standards" }, { "name": "regulated_activities", "value": "not_found", "read_at": "2026-10-31T01:52:33Z", "pages_checked": [ "https://uaelegislation.gov.ae/en/legislations/2672", "https://www.dfsa.ae/application/files/2915/8554/6898/MASClearsightLimited_4.pdf", "https://uaelegislation.gov.ae/en/search", "https://uaelegislation.gov.ae/en/legislations/2309/regulations/858/download", "https://www.uaecma.gov.ae/en/home.aspx", "https://www.uaecma.gov.ae/assets/5b93d7b5/the-chairman-of-the-authoritys-board-of-directors-decision-no-13chairman-of-2021-on-the.aspx", "https://www.uaecma.gov.ae/en/regulations/regulations-listing.aspx?id=105", "https://www.uaecma.gov.ae/en/services/financial-activity-licenses", "https://legislation.uaecma.gov.ae/en/article-8-meeting-clients-suitability-and-appropriateness-standards", "https://dfsaen.thomsonreuters.com/rulebook/cob-342" ], "conflict": { "values": [ { "value": [ "Trading Broker", "Trading and Clearing Broker", "Trading Broker in Global Markets", "Financial Products Dealer", "Financial Advisory", "Financial Advisor (Issuance Manager)", "Listing Advisor", "Promotion", "Introducing", "General Clearing", "Portfolio Management", "Investment Management of Investment Funds", "Administrative Services for Investment Funds", "Custody", "Registrar of Private Joint Stock Companies", "Covered Warrants Issuer", "Crowdfunding Platform Operator", "Family Investment Management", "Brokerage in Commodities Contract", "Profit-Sharing Investment Account Management", "Financial Recommendations’ Provider", "Virtual Assets Broker", "Custody of Virtual Assets", "Virtual Assets Platform Operator" ], "source_url": "https://www.uaecma.gov.ae/en/services/financial-activity-licenses", "quote": "Fee Type : Federal License fees: Virtual Assets Broker", "source_date": null } ], "reason": "review PARTIAL: PARTIAL\n\nThe excerpt explicitly lists \"Virtual Assets Broker,\" \"Custody of Virtual Assets,\" and \"Virtual Assets Platform Operator\" under Federal License fees, but does not mention most other claimed a", "selection_rule": "none — unresolved (BOOK-02 records, does not resolve)" } }, { "name": "participant_categories", "value": "not_found", "read_at": "2026-10-31T01:45:58Z", "pages_checked": [ "https://uaelegislation.gov.ae/en/legislations/2672", "https://www.dfsa.ae/application/files/2915/8554/6898/MASClearsightLimited_4.pdf", "https://uaelegislation.gov.ae/en/search", "https://uaelegislation.gov.ae/en/legislations/2309/regulations/858/download", "https://www.uaecma.gov.ae/en/home.aspx", "https://www.uaecma.gov.ae/assets/5b93d7b5/the-chairman-of-the-authoritys-board-of-directors-decision-no-13chairman-of-2021-on-the.aspx", "https://www.uaecma.gov.ae/en/regulations/regulations-listing.aspx?id=105", "https://www.uaecma.gov.ae/en/services/financial-activity-licenses", "https://legislation.uaecma.gov.ae/en/article-8-meeting-clients-suitability-and-appropriateness-standards", "https://dfsaen.thomsonreuters.com/rulebook/cob-342" ], "conflict": { "values": [ { "value": [ { "category": "Client" }, { "category": "Professional Client" }, { "category": "Authorised Firm" } ], "source_url": "https://dfsaen.thomsonreuters.com/rulebook/cob-342", "quote": "limit the extent to which it will consider suitability when making a recommendation to, or undertaking a Transaction on a discretionary basis for or on behalf of, a Professional Client", "source_date": "Jan 01 2020" } ], "reason": "review PARTIAL: PARTIAL\n\nThe excerpt explicitly mentions \"Professional Client\" and \"Authorised Firm\" as participant categories, but it does not mention \"Client\" as a distinct category—only in the context of a general", "selection_rule": "none — unresolved (BOOK-02 records, does not resolve)" } }, { "name": "product_categories", "value": "not_found", "read_at": "2026-10-31T01:52:33Z", "pages_checked": [ "https://uaelegislation.gov.ae/en/legislations/2672", "https://www.dfsa.ae/application/files/2915/8554/6898/MASClearsightLimited_4.pdf", "https://uaelegislation.gov.ae/en/search", "https://uaelegislation.gov.ae/en/legislations/2309/regulations/858/download", "https://www.uaecma.gov.ae/en/home.aspx", "https://www.uaecma.gov.ae/assets/5b93d7b5/the-chairman-of-the-authoritys-board-of-directors-decision-no-13chairman-of-2021-on-the.aspx", "https://www.uaecma.gov.ae/en/regulations/regulations-listing.aspx?id=105", "https://www.uaecma.gov.ae/en/services/financial-activity-licenses", "https://legislation.uaecma.gov.ae/en/article-8-meeting-clients-suitability-and-appropriateness-standards", "https://dfsaen.thomsonreuters.com/rulebook/cob-342" ], "conflict": { "values": [ { "value": [ { "class": "Domestic Fund" }, { "class": "External Fund" }, { "class": "Foreign Fund", "basis": "Article 13(3) of the Collective Investment Law 2010" } ], "source_url": "https://www.dfsa.ae/application/files/2915/8554/6898/MASClearsightLimited_4.pdf", "quote": "Books investment was neither a Domestic Fund nor an Ext ernal Fund it was , therefore, a Foreign Fund (pursuant to Article 13(3)", "source_date": null } ], "reason": "review PARTIAL: PARTIAL\n\nThe excerpt explicitly states that the Books investment was \"neither a Domestic Fund nor an External Fund\" and was \"therefore, a Foreign Fund (pursuant to Article 13(3) of the Collective Inve", "selection_rule": "none — unresolved (BOOK-02 records, does not resolve)" } }, { "name": "issuer_and_listing_scope", "value": "not_found", "read_at": "2026-10-31T01:55:08Z", "pages_checked": [ "https://uaelegislation.gov.ae/en/legislations/2672", "https://www.dfsa.ae/application/files/2915/8554/6898/MASClearsightLimited_4.pdf", "https://uaelegislation.gov.ae/en/search", "https://uaelegislation.gov.ae/en/legislations/2309/regulations/858/download", "https://www.uaecma.gov.ae/en/home.aspx", "https://www.uaecma.gov.ae/assets/5b93d7b5/the-chairman-of-the-authoritys-board-of-directors-decision-no-13chairman-of-2021-on-the.aspx", "https://www.uaecma.gov.ae/en/regulations/regulations-listing.aspx?id=105", "https://www.uaecma.gov.ae/en/services/financial-activity-licenses", "https://legislation.uaecma.gov.ae/en/article-8-meeting-clients-suitability-and-appropriateness-standards", "https://dfsaen.thomsonreuters.com/rulebook/cob-342" ] }, { "name": "exchanges_and_venues", "value": [ { "name": "Dubai Financial Market PJSC (DFM)", "listings_page": "https://www.dfm.ae/the-exchange/news-disclosures/disclosures" }, { "name": "Abu Dhabi Securities Exchange (ADX)", "listings_page": null } ], "read_at": "2026-10-23", "pages_checked": [ "https://www.dfm.ae/", "https://www.adx.ae/-/media/adx/related-documents/market-rules/adx-rules-book-english.pdf" ], "source_url": "https://www.dfm.ae/" }, { "name": "information_stores", "value": "DFM Disclosures page (price-sensitive information such as quarterly/annual financial statements); ADX equivalent not retrievable", "read_at": "2026-10-23", "pages_checked": [ "https://www.dfm.ae/the-exchange/news-disclosures/disclosures" ], "source_url": "https://www.dfm.ae/the-exchange/news-disclosures/disclosures" }, { "name": "store_lookup", "value": "DFM Disclosures page - filter by Type, 'Select Companies', date range, keyword", "read_at": "2026-10-23", "pages_checked": [ "https://www.dfm.ae/the-exchange/news-disclosures/disclosures" ], "source_url": "https://www.dfm.ae/the-exchange/news-disclosures/disclosures" }, { "name": "periodic_reporting", "value": [ { "report": "DFM Local Company: interim (unaudited but reviewed) quarterly financial statements", "deadline": "within forty-five (45) days from the end of the quarter" }, { "report": "DFM Local Company: summary of preliminary year-end financial statements (unaudited, not reviewed)", "deadline": "within forty-five (45) days of the end of the financial year" }, { "report": "DFM Local Company: board report incl. audited year-end financial statements and external auditor's report", "deadline": "within ninety (90) days of the end of its financial year" }, { "report": "ADX Local Company (Art. 9): integrated annual report (board report, audited financial statements, auditor's report, sustainability and governance reports)", "deadline": "within (90) days of the end of its fiscal year, or, at least, ten days before the convening of its general assembly, whichever comes first" }, { "report": "ADX Local Company (Art. 9): comparative quarterly report with financial statements audited by its auditor", "deadline": "within (45) days of the end date of the relevant quarter" }, { "report": "ADX Local Company (Art. 9): summary of final accounts (preliminary, unaudited nor reviewed)", "deadline": "within (45) days of the end of the fiscal year" } ], "read_at": "2026-10-23", "pages_checked": [ "https://assets.dfm.ae/docs/default-source/market-rules/dfm-listing-rules-module-english.pdf?sfvrsn=82811f81_10", "https://www.adx.ae/-/media/adx/related-documents/market-rules/adx-rules-book-english.pdf" ], "source_url": "https://assets.dfm.ae/docs/default-source/market-rules/dfm-listing-rules-module-english.pdf?sfvrsn=82811f81_10", "conflict": { "values": [ { "value": [ { "duty": "The integrated annual report of the company, which includes its Board of Directors report, audited financial statements and the auditor’s report, the sustainability report and governance report", "deadline": "within (90) days of the end of its fiscal year, or, at least, ten days before the convening of its general assembly, whichever comes first", "applies_to": "listed Local Company (ADX)" }, { "duty": "A comparative quarterly report for the same period of the previous fiscal year that includes the company’s financial statements audited by its auditor", "deadline": "within (45) days of the end date of the relevant quarter", "applies_to": "listed Local Company (ADX)" }, { "duty": "Summary of final accounts (preliminary unaudited nor reviewed financial statements)", "deadline": "within (45) days of the end of the fiscal year", "applies_to": "listed Local Company (ADX)" } ], "source_url": "https://www.adx.ae/-/media/adx/related-documents/market-rules/adx-rules-book-english.pdf", "quote": "The integrated annual report of the company, which includes its Board of Directors report, audited financial statements and the auditor’s report, the sustainability report and governance report, within (90) days of the end of its fiscal year", "source_date": null } ], "reason": "review UNSUPPORTED: SUPPORTED, The page excerpt directly matches all three claimed duties, deadlines, and applicability to listed Local Companies (ADX) as outlined in points 6, 7, and 8.", "selection_rule": "none — unresolved (BOOK-02 records, does not resolve)" } }, { "name": "ad_hoc_disclosure", "value": "DFM Listing Rules 1.10(b): an Issuer shall provide information and reports to the Market immediately following the occurrence of the event to which they relate, save where an alternative timeframe is stipulated; Rule 1.11 inside information must be published, with delay permitted only if conditions are met and the Market is immediately informed. ADX Art. 9(1): information, reports and decisions that may affect the price of its securities as soon as the company becomes aware of this information or as soon as the relevant reports and decisions are issued", "read_at": "2026-10-23", "pages_checked": [ "https://assets.dfm.ae/docs/default-source/market-rules/dfm-listing-rules-module-english.pdf?sfvrsn=82811f81_10", "https://www.adx.ae/-/media/adx/related-documents/market-rules/adx-rules-book-english.pdf" ], "source_url": "https://assets.dfm.ae/docs/default-source/market-rules/dfm-listing-rules-module-english.pdf?sfvrsn=82811f81_10" }, { "name": "filing_formats", "value": [ { "requirement": "The Market may request an Issuer to provide information and reports through the electronic systems determined by the Market.", "market": "DFM" } ], "read_at": "2026-10-31T01:53:13Z", "pages_checked": [ "https://assets.dfm.ae/docs/default-source/market-rules/dfm-listing-rules-module-english.pdf?sfvrsn=82811f81_10", "https://www.dfm.ae/the-exchange/news-disclosures/disclosures", "https://www.uaecma.gov.ae/assets/5b93d7b5/the-chairman-of-the-authoritys-board-of-directors-decision-no-13chairman-of-2021-on-the.aspx", "https://www.uaecma.gov.ae/assets/5e7f1a45/13-2026e.aspx", "https://www.uaecma.gov.ae/assets/download/c85fbd92/11-2026%D9%8Fenglish.aspx", "https://beta.sca.gov.ae/en/regulations/regulations-listing/amendments.aspx?id=142", "https://www.sca.gov.ae/assets/fb92cd33/10-2025-english.aspx", "https://beta.sca.gov.ae/en/regulations/regulations-listing.aspx?id=194", "https://www.adx.ae/-/media/adx/related-documents/market-rules/adx-rules-book-english.pdf", "https://www.dfsa.ae/application/files/2915/8554/6898/MASClearsightLimited_4.pdf" ], "source_url": "https://assets.dfm.ae/docs/default-source/market-rules/dfm-listing-rules-module-english.pdf?sfvrsn=82811f81_10", "source_date": "2025" }, { "name": "filing_languages", "value": "DFM: information and reports in Arabic unless the Market directs or permits otherwise (Rule 1.10(e)(ii)). ADX rules refer to announcements in Arabic and English and notices in newspapers with at least one in Arabic; no single filing-language rule for periodic reports read", "read_at": "2026-10-23", "pages_checked": [ "https://assets.dfm.ae/docs/default-source/market-rules/dfm-listing-rules-module-english.pdf?sfvrsn=82811f81_10" ], "source_url": "https://assets.dfm.ae/docs/default-source/market-rules/dfm-listing-rules-module-english.pdf?sfvrsn=82811f81_10" }, { "name": "prospectus_regime", "value": [ { "requirement": "Listing prospectus according to the form approved by the Market.", "context": "enclosure to application for listing by a Local Company (ADX Article 6)" } ], "read_at": "2026-10-31T01:53:13Z", "pages_checked": [ "https://www.adx.ae/-/media/adx/related-documents/market-rules/adx-rules-book-english.pdf", "https://www.dfm.ae/the-exchange/news-disclosures/disclosures", 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requirements of the Collective Investment Law 2010 and CIR", "context": "condition for offering a Unit of a Fund under Article 50 of the Collective Investment Law 2010 (DIFC)" } ], "read_at": "2026-10-31T01:52:33Z", "pages_checked": [ "https://www.dfsa.ae/application/files/2915/8554/6898/MASClearsightLimited_4.pdf", "https://www.dfm.ae/the-exchange/news-disclosures/disclosures", "https://www.uaecma.gov.ae/assets/5b93d7b5/the-chairman-of-the-authoritys-board-of-directors-decision-no-13chairman-of-2021-on-the.aspx", "https://www.uaecma.gov.ae/assets/5e7f1a45/13-2026e.aspx", "https://www.uaecma.gov.ae/assets/download/c85fbd92/11-2026%D9%8Fenglish.aspx", "https://beta.sca.gov.ae/en/regulations/regulations-listing/amendments.aspx?id=142", "https://www.sca.gov.ae/assets/fb92cd33/10-2025-english.aspx", "https://beta.sca.gov.ae/en/regulations/regulations-listing.aspx?id=194", "https://assets.dfm.ae/docs/default-source/market-rules/dfm-listing-rules-module-english.pdf?sfvrsn=82811f81_10", "https://www.adx.ae/-/media/adx/related-documents/market-rules/adx-rules-book-english.pdf" ], "source_url": "https://www.dfsa.ae/application/files/2915/8554/6898/MASClearsightLimited_4.pdf", "source_date": "2020-03-30" }, { "name": "takeover_regime", "value": "not_found", "read_at": "2026-10-31T01:55:10Z", "pages_checked": [ "https://www.dfsa.ae/application/files/2915/8554/6898/MASClearsightLimited_4.pdf", "https://regulations.sca.gov.ae/en-us/Service/GetRegulationByIdAsPdf/114", "https://uaelegislation.gov.ae/en/legislations/2390/download", "https://beta.sca.gov.ae/en/regulations/minority-investor-protection.aspx", "https://uaelegislation.gov.ae/en/legislations/4002/download", "https://uaelegislation.gov.ae/en/legislations/4001/download", "https://www.uaelegislation.gov.ae/en/legislations/1610/download", "https://uaelegislation.gov.ae/en/legislations/2176/download", "https://beta.sca.gov.ae/en/regulations/regulations-listing/amendments.aspx?id=142", "https://www.sca.gov.ae/assets/fb92cd33/10-2025-english.aspx" ] }, { "name": "ownership_reporting", "value": "not_found", "read_at": "2026-10-31T01:55:10Z", "pages_checked": [ "https://www.dfsa.ae/application/files/2915/8554/6898/MASClearsightLimited_4.pdf", "https://regulations.sca.gov.ae/en-us/Service/GetRegulationByIdAsPdf/114", "https://uaelegislation.gov.ae/en/legislations/2390/download", "https://beta.sca.gov.ae/en/regulations/minority-investor-protection.aspx", "https://uaelegislation.gov.ae/en/legislations/4002/download", "https://uaelegislation.gov.ae/en/legislations/4001/download", "https://www.uaelegislation.gov.ae/en/legislations/1610/download", "https://uaelegislation.gov.ae/en/legislations/2176/download", "https://beta.sca.gov.ae/en/regulations/regulations-listing/amendments.aspx?id=142", "https://www.sca.gov.ae/assets/fb92cd33/10-2025-english.aspx" ] }, { "name": "short_selling", "value": "not_found", "read_at": "2026-10-31T01:55:10Z", "pages_checked": [ "https://www.dfsa.ae/application/files/2915/8554/6898/MASClearsightLimited_4.pdf", "https://regulations.sca.gov.ae/en-us/Service/GetRegulationByIdAsPdf/114", "https://uaelegislation.gov.ae/en/legislations/2390/download", "https://beta.sca.gov.ae/en/regulations/minority-investor-protection.aspx", "https://uaelegislation.gov.ae/en/legislations/4002/download", "https://uaelegislation.gov.ae/en/legislations/4001/download", "https://www.uaelegislation.gov.ae/en/legislations/1610/download", "https://uaelegislation.gov.ae/en/legislations/2176/download", "https://beta.sca.gov.ae/en/regulations/regulations-listing/amendments.aspx?id=142", "https://www.sca.gov.ae/assets/fb92cd33/10-2025-english.aspx" ] }, { "name": "market_abuse", "value": "not_found", "read_at": "2026-10-31T01:53:49Z", "pages_checked": [ "https://www.dfsa.ae/application/files/2915/8554/6898/MASClearsightLimited_4.pdf", "https://regulations.sca.gov.ae/en-us/Service/GetRegulationByIdAsPdf/114", "https://uaelegislation.gov.ae/en/legislations/2390/download", "https://beta.sca.gov.ae/en/regulations/minority-investor-protection.aspx", "https://uaelegislation.gov.ae/en/legislations/4002/download", "https://uaelegislation.gov.ae/en/legislations/4001/download", "https://www.uaelegislation.gov.ae/en/legislations/1610/download", "https://uaelegislation.gov.ae/en/legislations/2176/download", "https://beta.sca.gov.ae/en/regulations/regulations-listing/amendments.aspx?id=142", "https://www.sca.gov.ae/assets/fb92cd33/10-2025-english.aspx" ] }, { "name": "trading_controls", "value": "not_found", "read_at": "2026-10-31T01:55:10Z", "pages_checked": [ "https://www.dfsa.ae/application/files/2915/8554/6898/MASClearsightLimited_4.pdf", "https://regulations.sca.gov.ae/en-us/Service/GetRegulationByIdAsPdf/114", "https://uaelegislation.gov.ae/en/legislations/2390/download", "https://beta.sca.gov.ae/en/regulations/minority-investor-protection.aspx", "https://uaelegislation.gov.ae/en/legislations/4002/download", "https://uaelegislation.gov.ae/en/legislations/4001/download", "https://www.uaelegislation.gov.ae/en/legislations/1610/download", "https://uaelegislation.gov.ae/en/legislations/2176/download", "https://beta.sca.gov.ae/en/regulations/regulations-listing/amendments.aspx?id=142", "https://www.sca.gov.ae/assets/fb92cd33/10-2025-english.aspx" ] }, { "name": "market_calendar", "value": "DFM Settlement and Trading Calendar page (dates did not render in fetch)", "read_at": "2026-10-23", "pages_checked": [ "https://www.dfm.ae/the-exchange/news-disclosures/settlement-trading-calendar" ], "source_url": "https://www.dfm.ae/the-exchange/news-disclosures/settlement-trading-calendar" }, { "name": "halts_sources", "value": "DFM Listing Rules 1.12 'Suspensions of trading' (rule text); no live halts page found on DFM homepage or ADX", "read_at": "2026-10-23", "pages_checked": [ "https://assets.dfm.ae/docs/default-source/market-rules/dfm-listing-rules-module-english.pdf?sfvrsn=82811f81_10" ], "source_url": "https://assets.dfm.ae/docs/default-source/market-rules/dfm-listing-rules-module-english.pdf?sfvrsn=82811f81_10" }, { "name": "identifiers", "value": "not_found", "read_at": "2026-10-31T01:55:10Z", "pages_checked": [ "https://www.dfsa.ae/application/files/2915/8554/6898/MASClearsightLimited_4.pdf", "https://regulations.sca.gov.ae/en-us/Service/GetRegulationByIdAsPdf/114", "https://uaelegislation.gov.ae/en/legislations/2390/download", "https://beta.sca.gov.ae/en/regulations/minority-investor-protection.aspx", "https://uaelegislation.gov.ae/en/legislations/4002/download", "https://uaelegislation.gov.ae/en/legislations/4001/download", "https://www.uaelegislation.gov.ae/en/legislations/1610/download", "https://uaelegislation.gov.ae/en/legislations/2176/download", "https://beta.sca.gov.ae/en/regulations/regulations-listing/amendments.aspx?id=142", "https://www.sca.gov.ae/assets/fb92cd33/10-2025-english.aspx" ] }, { "name": "isin_prefix", "value": "AE - ANNA lists three entries under the AE prefix: Capital Markets Authority (CMA) for the United Arab Emirates; Nasdaq Dubai Ltd. for UAE-DIFC; Abu Dhabi Global Markets (ADGM) as Other", "read_at": "2026-10-23", "pages_checked": [ "https://www.anna-web.org/home/anna-members/" ], "source_url": "https://www.anna-web.org/home/anna-members/", "conflict": { "values": [ { "value": { "prefix": "AE", "jurisdiction": "United Arab Emirates (the)", "numbering_agency": "Capital Markets Authority (CMA)", "agency_website": "https://www.sca.gov.ae/", "membership_status": "Member", "substitute_agency": "WM Datenservice", "basis_standard": "ISIN Prefixes and the associated jurisdiction reference are based on the ISO 3166 standard.", "limits": "The same prefix AE is also listed separately for Abu Dhabi Global Markets (ADGM), status Other, substitute agency WM Datenservice" }, "source_url": "https://www.anna-web.org/home/anna-members/", "quote": "ISIN Prefixes and the associated jurisdiction reference are based on the ISO 3166 standard.", "source_date": "12 June, 2026" } ], "reason": "review PARTIAL: PARTIAL\n\nThe excerpt confirms that ISIN prefixes are based on the ISO 3166 standard (supporting the \"basis_standard\" field) and mentions the role of substitute agencies like WM Datenservice (supportin", "selection_rule": "none — unresolved (BOOK-02 records, does not resolve)" } }, { "name": "lei_requirements", "value": "not_found", "read_at": "2026-10-31T01:54:14Z", "pages_checked": [ "https://www.anna-web.org/home/anna-members/", "https://www.dfsa.ae/application/files/2915/8554/6898/MASClearsightLimited_4.pdf", "https://rulebook.centralbank.ae/en/rulebook/guidance-licensed-financial-institutions-transaction-monitoring-and-sanctions-screening", "https://eservices.centralbank.ae/", "https://www.gleif.org/en/about-lei/how-to-get-an-lei-find-lei-issuing-organizations", "https://uaelegislation.gov.ae/en/legislations/4001/download", "https://beta.sca.gov.ae/en/search.aspx", "https://www.sca.gov.ae/assets/fb92cd33/10-2025-english.aspx", "https://uaelegislation.gov.ae/en/legislations/4002/download", "https://uaelegislation.gov.ae/en/legislations/3284/download" ] }, { "name": "settlement", "value": "not_found", "read_at": "2026-10-31T01:55:10Z", "pages_checked": [ "https://www.anna-web.org/home/anna-members/", "https://www.dfsa.ae/application/files/2915/8554/6898/MASClearsightLimited_4.pdf", "https://rulebook.centralbank.ae/en/rulebook/guidance-licensed-financial-institutions-transaction-monitoring-and-sanctions-screening", "https://eservices.centralbank.ae/", "https://www.gleif.org/en/about-lei/how-to-get-an-lei-find-lei-issuing-organizations", "https://uaelegislation.gov.ae/en/legislations/4001/download", "https://beta.sca.gov.ae/en/search.aspx", "https://www.sca.gov.ae/assets/fb92cd33/10-2025-english.aspx", "https://uaelegislation.gov.ae/en/legislations/4002/download", "https://uaelegislation.gov.ae/en/legislations/3284/download" ] }, { "name": "clearing_and_custody", "value": "not_found", "read_at": "2026-10-31T01:55:10Z", "pages_checked": [ "https://www.anna-web.org/home/anna-members/", "https://www.dfsa.ae/application/files/2915/8554/6898/MASClearsightLimited_4.pdf", "https://rulebook.centralbank.ae/en/rulebook/guidance-licensed-financial-institutions-transaction-monitoring-and-sanctions-screening", "https://eservices.centralbank.ae/", "https://www.gleif.org/en/about-lei/how-to-get-an-lei-find-lei-issuing-organizations", "https://uaelegislation.gov.ae/en/legislations/4001/download", "https://beta.sca.gov.ae/en/search.aspx", "https://www.sca.gov.ae/assets/fb92cd33/10-2025-english.aspx", "https://uaelegislation.gov.ae/en/legislations/4002/download", "https://uaelegislation.gov.ae/en/legislations/3284/download" ] }, { "name": "corporate_actions", "value": "not_found", "read_at": "2026-10-31T01:55:10Z", "pages_checked": [ "https://www.anna-web.org/home/anna-members/", "https://www.dfsa.ae/application/files/2915/8554/6898/MASClearsightLimited_4.pdf", "https://rulebook.centralbank.ae/en/rulebook/guidance-licensed-financial-institutions-transaction-monitoring-and-sanctions-screening", "https://eservices.centralbank.ae/", "https://www.gleif.org/en/about-lei/how-to-get-an-lei-find-lei-issuing-organizations", "https://uaelegislation.gov.ae/en/legislations/4001/download", "https://beta.sca.gov.ae/en/search.aspx", "https://www.sca.gov.ae/assets/fb92cd33/10-2025-english.aspx", "https://uaelegislation.gov.ae/en/legislations/4002/download", "https://uaelegislation.gov.ae/en/legislations/3284/download" ] }, { "name": "retail_access", "value": [ { "venue": "DIFC (DFSA)", "safeguard": "Suitability: a firm is not permitted to recommend a financial product or service to a Client unless it has a reasonable basis for considering the recommendation to be suitable; must assess the Client's needs and objectives, financial situation and, to the extent relevant, risk tolerance, knowledge, experience and understanding of the risks involved", "exception": "For Professional Clients, the firm may limit the extent to which it considers suitability if it gives a written warning notice and the Professional Client gives express consent by signing that notice" } ], "read_at": "2026-10-31T01:52:33Z", "pages_checked": [ "https://www.dfsa.ae/application/files/2915/8554/6898/MASClearsightLimited_4.pdf", "https://www.anna-web.org/home/anna-members/", "https://rulebook.centralbank.ae/en/rulebook/guidance-licensed-financial-institutions-transaction-monitoring-and-sanctions-screening", "https://eservices.centralbank.ae/", "https://www.gleif.org/en/about-lei/how-to-get-an-lei-find-lei-issuing-organizations", "https://uaelegislation.gov.ae/en/legislations/4001/download", "https://beta.sca.gov.ae/en/search.aspx", "https://www.sca.gov.ae/assets/fb92cd33/10-2025-english.aspx", "https://uaelegislation.gov.ae/en/legislations/4002/download", "https://uaelegislation.gov.ae/en/legislations/3284/download" ], "source_url": "https://www.dfsa.ae/application/files/2915/8554/6898/MASClearsightLimited_4.pdf", "source_date": "2020-03-30" }, { "name": "cross_border_access", "value": [ { "venue": "DIFC (DFSA)", "restriction": "Under Article 50 of the Collective Investment Law 2010, a person is prohibited from offering to existing or prospective investors a Unit of a Fund unless conditions are met, including making available a compliant Prospectus, being a Fund Manager or authorised under its Licence to offer Units of a Fund, and making the Offer in accordance with the Collective Investment Law 2010 and CIR; marketing of Foreign Funds governed by CIR 15.1.3" } ], "read_at": "2026-10-31T01:52:33Z", "pages_checked": [ "https://www.dfsa.ae/application/files/2915/8554/6898/MASClearsightLimited_4.pdf", "https://www.anna-web.org/home/anna-members/", "https://rulebook.centralbank.ae/en/rulebook/guidance-licensed-financial-institutions-transaction-monitoring-and-sanctions-screening", "https://eservices.centralbank.ae/", "https://www.gleif.org/en/about-lei/how-to-get-an-lei-find-lei-issuing-organizations", "https://uaelegislation.gov.ae/en/legislations/4001/download", "https://beta.sca.gov.ae/en/search.aspx", "https://www.sca.gov.ae/assets/fb92cd33/10-2025-english.aspx", "https://uaelegislation.gov.ae/en/legislations/4002/download", "https://uaelegislation.gov.ae/en/legislations/3284/download" ], "source_url": "https://www.dfsa.ae/application/files/2915/8554/6898/MASClearsightLimited_4.pdf", "source_date": "2020-03-30" }, { "name": "tax_at_source", "value": "not_found", "read_at": "2026-10-31T01:55:12Z", "pages_checked": [ "https://www.anna-web.org/home/anna-members/", "https://www.dfsa.ae/application/files/2915/8554/6898/MASClearsightLimited_4.pdf", "https://rulebook.centralbank.ae/en/rulebook/guidance-licensed-financial-institutions-transaction-monitoring-and-sanctions-screening", "https://eservices.centralbank.ae/", "https://www.gleif.org/en/about-lei/how-to-get-an-lei-find-lei-issuing-organizations", "https://uaelegislation.gov.ae/en/legislations/4001/download", "https://beta.sca.gov.ae/en/search.aspx", "https://www.sca.gov.ae/assets/fb92cd33/10-2025-english.aspx", "https://uaelegislation.gov.ae/en/legislations/4002/download", "https://uaelegislation.gov.ae/en/legislations/3284/download" ] }, { "name": "fees_and_levies", "value": "not_found", "read_at": "2026-10-31T01:55:12Z", "pages_checked": [ "https://beta.sca.gov.ae/assets/87cab091/fees-and-description-for-activities-licensed-by-the-sca.aspx", "https://uaelegislation.gov.ae/en/legislations/4002/download", "https://uaelegislation.gov.ae/en/legislations/4001/download", "https://beta.sca.gov.ae/en/regulations/regulations-listing.aspx?id=214", "https://www.sca.gov.ae/assets/fb92cd33/10-2025-english.aspx", "https://beta.sca.gov.ae/en/regulations/regulations-listing/amendments.aspx?id=142", "https://beta.sca.gov.ae/en/regulations/regulations-listing.aspx?id=156", "https://www.dfsa.ae/application/files/2915/8554/6898/MASClearsightLimited_4.pdf", "https://www.sca.gov.ae/assets/341c3ad9/2-25-11-2024-en.aspx", "https://www.uaecma.gov.ae/assets/a324e2eb/chapter-fiveregulations-for-combating-money-laundering-crimes-countering-terrorism-financing-and.aspx" ] }, { "name": "conduct_and_conflicts", "value": "not_found", "read_at": "2026-10-31T01:52:33Z", "pages_checked": [ "https://beta.sca.gov.ae/assets/87cab091/fees-and-description-for-activities-licensed-by-the-sca.aspx", "https://uaelegislation.gov.ae/en/legislations/4002/download", "https://uaelegislation.gov.ae/en/legislations/4001/download", "https://beta.sca.gov.ae/en/regulations/regulations-listing.aspx?id=214", "https://www.sca.gov.ae/assets/fb92cd33/10-2025-english.aspx", "https://beta.sca.gov.ae/en/regulations/regulations-listing/amendments.aspx?id=142", "https://beta.sca.gov.ae/en/regulations/regulations-listing.aspx?id=156", "https://www.dfsa.ae/application/files/2915/8554/6898/MASClearsightLimited_4.pdf", "https://www.sca.gov.ae/assets/341c3ad9/2-25-11-2024-en.aspx", "https://www.uaecma.gov.ae/assets/a324e2eb/chapter-fiveregulations-for-combating-money-laundering-crimes-countering-terrorism-financing-and.aspx" ], "conflict": { "values": [ { "value": [ { "regime": "DFSA (DIFC) COB Rules", "duty": "Suitability: not permitted to recommend a financial product or service to a Client unless it has a reasonable basis for considering the recommendation to be suitable; must undertake an appropriate assessment of the particular Client's needs and objectives, financial situation and, to the extent relevant, their risk tolerance, knowledge, experience and understanding of the risks involved" }, { "regime": "DFSA (DIFC) COB Rules", "duty": "For Professional Clients, a firm may limit the extent to which it will consider suitability only if it gives a written warning notice and the Professional Client gives express consent by signing that notice" }, { "regime": "DFSA (DIFC) COB Rule 3.2.2", "duty": "Attempt to limit or avoid liability to Clients is in contravention of COB Rule 3.2.2" }, { "regime": "Collective Investment Law 2010 Article 50 / CIR 15.1.3", "duty": "Prohibition on offering a Unit of a Fund unless conditions met, including making available a compliant Prospectus" } ], "source_url": "https://www.dfsa.ae/application/files/2915/8554/6898/MASClearsightLimited_4.pdf", "quote": "For this purpose, MAS must undertake an appropriate assessment of the particular Client’s needs and objectives , financial situation and, to the extent relevant, their risk tolerance, knowledge, experience and understanding of the risks involved.", "source_date": null } ], "reason": "review PARTIAL: PARTIAL\n\nThe excerpt supports some of the claimed duties (e.g., suitability assessment under DFSA COB Rules and the Professional Client exception), but it does not address the other claimed values (e.", "selection_rule": "none — unresolved (BOOK-02 records, does not resolve)" } }, { "name": "recordkeeping", "value": "not_found", "read_at": "2026-10-31T01:54:43Z", "pages_checked": [ "https://beta.sca.gov.ae/assets/87cab091/fees-and-description-for-activities-licensed-by-the-sca.aspx", "https://uaelegislation.gov.ae/en/legislations/4002/download", "https://uaelegislation.gov.ae/en/legislations/4001/download", "https://beta.sca.gov.ae/en/regulations/regulations-listing.aspx?id=214", "https://www.sca.gov.ae/assets/fb92cd33/10-2025-english.aspx", "https://beta.sca.gov.ae/en/regulations/regulations-listing/amendments.aspx?id=142", "https://beta.sca.gov.ae/en/regulations/regulations-listing.aspx?id=156", "https://www.dfsa.ae/application/files/2915/8554/6898/MASClearsightLimited_4.pdf", "https://www.sca.gov.ae/assets/341c3ad9/2-25-11-2024-en.aspx", "https://www.uaecma.gov.ae/assets/a324e2eb/chapter-fiveregulations-for-combating-money-laundering-crimes-countering-terrorism-financing-and.aspx" ] }, { "name": "complaints_and_redress", "value": [ { "route": "DFSA direction to effect restitution or compensation under Article 90(2)(c) of the Regulatory Law (DIFC)", "detail": "may make a direction requiring the person to effect restitution or compensate any other person in respect of the contravention within such period and on such terms as the DFSA may direct" } ], "read_at": "2026-10-31T01:52:33Z", "pages_checked": [ "https://www.dfsa.ae/application/files/2915/8554/6898/MASClearsightLimited_4.pdf", "https://beta.sca.gov.ae/assets/87cab091/fees-and-description-for-activities-licensed-by-the-sca.aspx", "https://uaelegislation.gov.ae/en/legislations/4002/download", "https://uaelegislation.gov.ae/en/legislations/4001/download", "https://beta.sca.gov.ae/en/regulations/regulations-listing.aspx?id=214", "https://www.sca.gov.ae/assets/fb92cd33/10-2025-english.aspx", "https://beta.sca.gov.ae/en/regulations/regulations-listing/amendments.aspx?id=142", "https://beta.sca.gov.ae/en/regulations/regulations-listing.aspx?id=156", "https://www.sca.gov.ae/assets/341c3ad9/2-25-11-2024-en.aspx", "https://www.uaecma.gov.ae/assets/a324e2eb/chapter-fiveregulations-for-combating-money-laundering-crimes-countering-terrorism-financing-and.aspx" ], "source_url": "https://www.dfsa.ae/application/files/2915/8554/6898/MASClearsightLimited_4.pdf", "source_date": "2020-03-30" }, { "name": "effective_changes", "value": "not_found", "read_at": "2026-10-31T01:55:12Z", "pages_checked": [ "https://beta.sca.gov.ae/assets/87cab091/fees-and-description-for-activities-licensed-by-the-sca.aspx", "https://uaelegislation.gov.ae/en/legislations/4002/download", "https://uaelegislation.gov.ae/en/legislations/4001/download", "https://beta.sca.gov.ae/en/regulations/regulations-listing.aspx?id=214", "https://www.sca.gov.ae/assets/fb92cd33/10-2025-english.aspx", "https://beta.sca.gov.ae/en/regulations/regulations-listing/amendments.aspx?id=142", "https://beta.sca.gov.ae/en/regulations/regulations-listing.aspx?id=156", "https://www.dfsa.ae/application/files/2915/8554/6898/MASClearsightLimited_4.pdf", "https://www.sca.gov.ae/assets/341c3ad9/2-25-11-2024-en.aspx", "https://www.uaecma.gov.ae/assets/a324e2eb/chapter-fiveregulations-for-combating-money-laundering-crimes-countering-terrorism-financing-and.aspx" ] }, { "name": "additional_duty_fields", "value": "not_found", "read_at": "2026-10-31T01:55:12Z", "pages_checked": [ "https://beta.sca.gov.ae/assets/87cab091/fees-and-description-for-activities-licensed-by-the-sca.aspx", "https://uaelegislation.gov.ae/en/legislations/4002/download", "https://uaelegislation.gov.ae/en/legislations/4001/download", "https://beta.sca.gov.ae/en/regulations/regulations-listing.aspx?id=214", "https://www.sca.gov.ae/assets/fb92cd33/10-2025-english.aspx", "https://beta.sca.gov.ae/en/regulations/regulations-listing/amendments.aspx?id=142", "https://beta.sca.gov.ae/en/regulations/regulations-listing.aspx?id=156", "https://www.dfsa.ae/application/files/2915/8554/6898/MASClearsightLimited_4.pdf", "https://www.sca.gov.ae/assets/341c3ad9/2-25-11-2024-en.aspx", "https://www.uaecma.gov.ae/assets/a324e2eb/chapter-fiveregulations-for-combating-money-laundering-crimes-countering-terrorism-financing-and.aspx" ] } ], "seed": { "note": "seed v1 (BOOK-01): the twelve node-page fields and the apex duty line carried in as values with their source URLs and read dates — evidence kept, shape reset; every other field not_found with pages_checked empty (not yet read; BOOK-02)", "node_record": { "url": "https://ae-eco.ai/eco.json", "read_at": "2026-10-30T21:17:22Z", "sha256": "9dcef29623b3660b77b3274fb724e517ea1a55554ba7cf9efc02f70dc776ee91", "kid": "allooloo-eco-2026-10", "hunted": "2026-10-23", "schema": "allooloo-eco/1.0", "pages_checked": [ "https://www.sca.gov.ae/en/home.aspx (301 to uaecma.gov.ae)", "https://www.uaecma.gov.ae/en/home.aspx", "https://www.adx.ae/ (403)", "https://www.adx.ae/english/pages/default.aspx (403)", "https://www.adx.ae/main-market/companies-all (403)", "https://adxservices.adx.ae/WebServices/DataServices/contentDownload.aspx?doc=2464772 (parse error)", "https://www.adx.ae/-/media/adx/related-documents/market-rules/adx-rules-book-english.pdf", "https://www.dfm.ae/", "https://www.dfm.ae/the-exchange/news-disclosures/disclosures", "https://www.dfm.ae/the-exchange/news-disclosures/settlement-trading-calendar", "https://assets.dfm.ae/docs/default-source/market-rules/dfm-listing-rules-module-english.pdf?sfvrsn=82811f81_10", "https://www.anna-web.org/home/anna-members/", "https://www.gleif.org/en/about-lei/how-to-get-an-lei-find-lei-issuing-organizations", "https://www.sca.gov.ae/en/regulations.aspx", "https://www.uaecma.gov.ae/en/regulations.aspx", "https://regulations.sca.gov.ae/en-us/", "https://legislation.uaecma.gov.ae/en", "https://legislation.uaecma.gov.ae/en/article-8-meeting-clients-suitability-and-appropriateness-standards", "https://legislation.uaecma.gov.ae/en/article-17-suitability-standards", "https://legislation.uaecma.gov.ae/en/authority%E2%80%99s-board-directors-resolution-no-05r-2020-concerning-suitability-and-appropriateness", "https://dfsaen.thomsonreuters.com/rulebook/cob-34-suitability", "https://dfsaen.thomsonreuters.com/rulebook/cob-342" ], "notes": [ "ADX rulebook text still names the regulator as 'Securities and Commodities Authority' (pre-rename); version date of the booklet is not stated.", "Deadlines above apply to local (UAE-incorporated) companies; foreign, free zone and private companies have variants not captured. DFSA / Nasdaq Dubai / ADGM regimes not hunted.", "ADX HTML site returns 403; only the adx.ae media PDF was readable.", "duty line added 2026-10-25 (DAY ORDER 5), verified on the regulator's own page" ] }, "duty_line": { "source": "https://mcp.getissuer.ai/mcp", "list_nodes_read_at": "2026-10-30T21:17:22Z" }, "source_notes": { "regulator": { "url": "https://www.uaecma.gov.ae/en/home.aspx", "source": "https://www.uaecma.gov.ae/en/home.aspx (sca.gov.ae 301-redirects here)", "state": "sourced" }, "exchanges": { "source": "https://www.dfm.ae/ (DFM); https://www.adx.ae/-/media/adx/related-documents/market-rules/adx-rules-book-english.pdf (ADX named as 'Abu Dhabi Securities Exchange'; adx.ae HTML pages returned 403). Nasdaq Dubai / DFSA not checked.", "state": "sourced" }, "regulated_information_store": { "url": "https://www.dfm.ae/the-exchange/news-disclosures/disclosures", "source": "https://www.dfm.ae/the-exchange/news-disclosures/disclosures", "state": "sourced" }, "periodic_disclosure": { "source": "https://assets.dfm.ae/docs/default-source/market-rules/dfm-listing-rules-module-english.pdf?sfvrsn=82811f81_10 (2025 Module Two Listing Rules, Part for Local Companies); https://www.adx.ae/-/media/adx/related-documents/market-rules/adx-rules-book-english.pdf (Operational Rules Booklet, Listing and Disclosure Regulations Art. 9)", "state": "sourced" }, "ad_hoc_regime": { "source": "https://assets.dfm.ae/docs/default-source/market-rules/dfm-listing-rules-module-english.pdf?sfvrsn=82811f81_10 ; https://www.adx.ae/-/media/adx/related-documents/market-rules/adx-rules-book-english.pdf", "state": "sourced" }, "filing_format": { "state": "not found", "checked": [ "https://assets.dfm.ae/docs/default-source/market-rules/dfm-listing-rules-module-english.pdf?sfvrsn=82811f81_10 (no XBRL/format rule found; financial statements per international accounting standards accepted by the Authority; signed by chairman or authorised senior management)", "https://www.adx.ae/-/media/adx/related-documents/market-rules/adx-rules-book-english.pdf", "https://www.adx.ae/ (403)" ] }, "isin_prefix": { "source": "https://www.anna-web.org/home/anna-members/", "state": "sourced" }, "lei": { "state": "not found", "checked": [ "https://www.gleif.org/en/about-lei/how-to-get-an-lei-find-lei-issuing-organizations (JS filter, no entries returned)", "DFM Listing Rules 2025 (no LEI requirement found by keyword search)" ] }, "market_calendar": { "url": "https://www.dfm.ae/the-exchange/news-disclosures/settlement-trading-calendar", "source": "https://www.dfm.ae/the-exchange/news-disclosures/settlement-trading-calendar", "state": "sourced" }, "filing_languages": { "source": "https://assets.dfm.ae/docs/default-source/market-rules/dfm-listing-rules-module-english.pdf?sfvrsn=82811f81_10", "state": "sourced" }, "trading_halts_page": { "url": "https://assets.dfm.ae/docs/default-source/market-rules/dfm-listing-rules-module-english.pdf?sfvrsn=82811f81_10", "source": "https://assets.dfm.ae/docs/default-source/market-rules/dfm-listing-rules-module-english.pdf?sfvrsn=82811f81_10", "state": "sourced" }, "store_lookup_url": { "url": "https://www.dfm.ae/the-exchange/news-disclosures/disclosures", "source": "https://www.dfm.ae/the-exchange/news-disclosures/disclosures", "state": "sourced" }, "duty": { "url": "https://legislation.uaecma.gov.ae/en/article-8-meeting-clients-suitability-and-appropriateness-standards", "source": "https://legislation.uaecma.gov.ae/en/article-8-meeting-clients-suitability-and-appropriateness-standards ; https://dfsaen.thomsonreuters.com/rulebook/cob-342", "state": "sourced", "quote": "SCA Art. 8: 'The licensed body that makes a recommendation to the client ... is obligated to meet the client the following suitability standards' | DFSA COB 3.4.2: 'an Authorised Firm must not recommend to a Client a financial product or financial service,'", "note": "corrected from the candidate citation: Both regimes were confirmed on 2026-10-25. Onshore: the candidate gave no article. The provision is Art. 8, 'Meeting the client's Suitability and Appropriateness standards', in the Rulebook (No. 13/Chairman/2021, Official Gazette 16/5/2021, shown as In-Force), under Section Three: Business Practice, Chapter Two. Art. 8 'First: Suitability standards' applies to recommendations or execution on a complex financial product and exempts professional investors and counterparties. That resolution repealed the earlier SCA Board Resolution No. (05/R) of 2020 on suitability and appropriateness. sca.gov.ae now redirects to uaecma.gov.ae: the regulator is operating as the Capital Market Authority (CMA), and its rulebook host is legislation.uaecma.gov.ae. A separate Art. 17 'Suitability Standards' under No. (04/Chairman)/2026 covers virtual assets only and is not the general provision. DIFC: the DFSA Rulebook COB 3.4 page is headed 'COB 3.4 Suitability', and COB 3.4.2 holds the suitability-assessment rule. 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"kept_seed": 11, "replaced_seed": 0 }, "notes": { "jurisdiction_scope": "review PARTIAL: PARTIAL\n\nThe excerpt confirms the DFSA's jurisdiction over licensing and suspending financial services in or from the DIFC, but the claimed value focuses on \"DFSA licensing\" generally, while the suppo", "competent_authorities": "verified but undated — the source bears no date (order: source_date or not_found)", "duty_map": "verified · date on-page (reader)", "regulated_activities": "review PARTIAL: PARTIAL\n\nThe excerpt explicitly lists \"Virtual Assets Broker,\" \"Custody of Virtual Assets,\" and \"Virtual Assets Platform Operator\" under Federal License fees, but does not mention most other claimed a", "participant_categories": "review PARTIAL: PARTIAL\n\nThe excerpt explicitly mentions \"Professional Client\" and \"Authorised Firm\" as participant categories, but it does not mention \"Client\" as a distinct category—only in the context of a general", "product_categories": "review PARTIAL: PARTIAL\n\nThe excerpt explicitly states that the Books investment was \"neither a Domestic Fund nor an External Fund\" and was \"therefore, a Foreign Fund (pursuant to Article 13(3) of the Collective Inve", "issuer_and_listing_scope": "not stated on the pages read", "exchanges_and_venues": "not stated on the pages read", "information_stores": "verified but undated — the source bears no date (order: source_date or not_found)", "store_lookup": "not stated on the pages read", "periodic_reporting": "review UNSUPPORTED: SUPPORTED, The page excerpt directly matches all three claimed duties, deadlines, and applicability to listed Local Companies (ADX) as outlined in points 6, 7, and 8.", "ad_hoc_disclosure": "verified · date Last-Modified", "filing_formats": "verified · date on-page (reader)", "filing_languages": "verified · date on-page (reader)", "prospectus_regime": "verified · date Last-Modified", "product_disclosures": "verified · date Last-Modified", "takeover_regime": "not stated on the pages read", "ownership_reporting": "not stated on the pages read", "short_selling": "not stated on the pages read", "market_abuse": "verified but undated — the source bears no date (order: source_date or not_found)", "trading_controls": "not stated on the pages read", "market_calendar": "not stated on the pages read", "halts_sources": "not stated on the pages read", "identifiers": "not stated on the pages read", "isin_prefix": "review PARTIAL: PARTIAL\n\nThe excerpt confirms that ISIN prefixes are based on the ISO 3166 standard (supporting the \"basis_standard\" field) and mentions the role of substitute agencies like WM Datenservice (supportin", "lei_requirements": "verified but undated — the source bears no date (order: source_date or not_found)", "settlement": "not stated on the pages read", "clearing_and_custody": "not stated on the pages read", "corporate_actions": "not stated on the pages read", "retail_access": "verified · date Last-Modified", "cross_border_access": "verified · date Last-Modified", "tax_at_source": "not stated on the pages read", "fees_and_levies": "not stated on the pages read", "conduct_and_conflicts": "review PARTIAL: PARTIAL\n\nThe excerpt supports some of the claimed duties (e.g., suitability assessment under DFSA COB Rules and the Professional Client exception), but it does not address the other claimed values (e.", "recordkeeping": "verified but undated — the source bears no date (order: source_date or not_found)", "complaints_and_redress": "verified · date Last-Modified", "effective_changes": "not stated on the pages read", "additional_duty_fields": "not stated on the pages read" } } }, "signature": { "alg": "EdDSA", "kid": "allooloo-eco-2026-10", "protected": "eyJhbGciOiJFZERTQSIsImtpZCI6ImFsbG9vbG9vLWVjby0yMDI2LTEwIn0", "signature": "OW3Du1nFSlUDwWOtnQtUgMBVC9DaPfNp4M3sByQly3XB3-TtFJlShbZCIniurxTbqE_7DYS8n2_kS_tp99zOAA", "jwks": "https://mcp.ae-cm-kg.ai/.well-known/jwks.json", "over": "base64url(protected) + '.' + base64url(canonical JSON of the file without signature: keys sorted, compact)" } }