The Stock Exchange Agreement serves as the foundational document governing the relationship between UAE stock exchanges and their member firms. It is utilized when a financial institution seeks to become a trading member of a UAE exchange, whether the Dubai Financial Market (DFM), Abu Dhabi Securities Exchange (ADX), or other recognized exchanges. The agreement comprehensively addresses membership criteria, trading rights, compliance obligations, risk management requirements, and technical specifications for system connectivity. It must align with UAE federal laws, particularly Federal Law No. 4 of 2000 (ESCA Law) and various SCA regulations governing securities markets. The document is essential for maintaining market integrity and ensuring standardized operations across all exchange members while accommodating both conventional and Islamic trading requirements specific to the UAE market.
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1. Parties: Identification of the stock exchange and the member firm, including their full legal names, registration details, and addresses
2. Background: Context of the agreement, including the exchange's authority to operate and the member's intention to participate in trading
3. Definitions and Interpretation: Comprehensive definitions of terms used throughout the agreement and rules of interpretation
4. Membership Rights and Obligations: Detailed description of trading rights granted and the member's obligations under the agreement
5. Compliance Requirements: Member's obligations to comply with exchange rules, SCA regulations, and applicable UAE laws
6. Trading Rules and Procedures: Specific rules governing trading activities, order execution, and settlement procedures
7. Risk Management Requirements: Member's obligations regarding risk management, including capital adequacy and exposure limits
8. Fees and Charges: Structure of membership fees, trading fees, and other applicable charges
9. Technology and Systems: Requirements for connecting to and using the exchange's trading systems
10. Reporting and Disclosure: Member's obligations regarding regular reporting and disclosure requirements
11. Default Procedures: Procedures in case of member default or breach of obligations
12. Disciplinary Procedures: Process for handling violations and imposing penalties
13. Term and Termination: Duration of the agreement and circumstances for termination
14. Confidentiality: Obligations regarding confidential information and trade secrets
15. Governing Law and Jurisdiction: Specification of UAE law as governing law and jurisdiction for disputes
1. Market Making Obligations: Required when the member will act as a market maker, specifying additional obligations and requirements
2. Foreign Member Provisions: Additional requirements specific to foreign members, including cross-border compliance obligations
3. Islamic Trading Requirements: Specific provisions for Islamic trading windows or Shariah-compliant trading
4. Direct Market Access: Provisions for members offering DMA services to their clients
5. Derivatives Trading: Additional provisions for members engaging in derivatives trading
6. Clearing Member Requirements: Specific provisions for members acting as clearing members
7. Branch Office Operations: Requirements for operating branch offices or multiple locations
1. Schedule 1 - Fee Schedule: Detailed breakdown of all applicable fees, charges, and payment terms
2. Schedule 2 - Technical Requirements: Technical specifications for system connectivity and security requirements
3. Schedule 3 - Trading Parameters: Specific trading limits, position limits, and other operational parameters
4. Schedule 4 - Reporting Templates: Standard forms and formats for required reports and disclosures
5. Schedule 5 - Contact Details: List of key contacts and escalation procedures
6. Schedule 6 - Compliance Documentation: Required compliance certificates and documentation
7. Appendix A - Exchange Rules: Current version of applicable exchange rules and regulations
8. Appendix B - Risk Management Procedures: Detailed risk management procedures and requirements
9. Appendix C - Emergency Procedures: Procedures for system outages and emergency situations
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