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10:00
01 january 2014
Home > Products > Services Catalogue > Services Details

Re-check and Audit Readiness of Company System (OMS)

Details

The service provides a re-check and audit on the readiness of the company system (OMS) with regards to changes to the system or system providers:

  • First meeting is for free, but the second and following meetings is charged
  • Issue certification from the brokerage firm addressed to the authority

For more information on this service, please contact: 

DFM Members Affairs
T: +971 4 305 5631
E: mc@dfm.ae


Fees
  • AED 1,000 for each additional meeting
  • AED 5,000 for each transaction

Procedures
  • The brokerage company informs DFM Market Control of any changes in the system provider 
  • DFM Market Control will send an application form for the brokerage company to make the necessary updates
  • The brokerage company updates the information and submits it to DFM Market Control Department along with supporting documents (please see required documents below) 
  • DFM Market Control approves the request and deliver the service

Required Documents
  • Approved systems provider’s information
  • The approval of margin trading system for the brokerage company in the market after completing and signing it by the authorized employees and the internal auditor in the brokerage company

How to Apply?
Online through DFM eServices, email mc@dfm.ae, or in person at the DFM Market Control, Trading Floor, World Trade Centre, Dubai