Procedures
Members are encouraged to refer to the following Operating Procedures and Trading Manuals containing information about Nasdaq Dubai’s trading, clearing, settlement and risk management processes.
These Procedures and Manuals have been published pursuant to the NASDAQ Dubai Business Rules which Members are required to comply with.
Trading Procedures
Trading Manual for Securities (Equities, ETFs and Structured Products)
This Nasdaq Dubai Trading manual describes the model of trading the Nasdaq Dubai and the functionality of the Nasdaq Dubai trading platform. It addresses the order types and executions conditions available, the price determination rules for trading and the various trading phases on Nasdaq Dubai. It also addresses cancellation procedures, trading safeguards, and other trading conditions.
Trading Manual for Derivatives
This Nasdaq Dubai Trading manual describes the model of trading derivatives contracts the Nasdaq Dubai and the functionality of the Nasdaq Dubai trading platform. It addresses the order types and executions conditions available, the price determination rules for trading and the various trading phases on Nasdaq Dubai. It also addresses cancellation procedures, trading safeguards, and other trading conditions.
Contract Adjustment Guidelines for Equity Futures
The Nasdaq Dubai Contract adjustment guideline describes the procedures followed by Nasdaq Dubai when a Corporate Action is applied to the underlying security and how adjustments are made to Futures Contracts.
Trading Manual for Debt Securities
This document describes the model for Debt Securities trading on Nasdaq Dubai. It addresses the order types, execution conditions available, the price determination rules for trading and the various trading phases on Nasdaq Dubai. It also briefly addresses the market connectivity, trading safeguards available and other trading and settlement conditions.
Clearing and Settlement Procedures
Clearing, Settlement and Risk management Procedures for Securities
The document is designed to explain post trade activities in Securities for operations teams at clearing members.
Clearing, Settlement and Risk management Procedures for Derivatives
The document is designed to explain post trade activities in Derivatives for operations teams at clearing members.
Other Procedures
Links with International CSDs (Euroclear Bank SA/NV and Clearstream Banking SA)
This document contains detailed Procedures and the applicable forms to facilitate Nasdaq Dubai participants to access ICSD Debt Securities through their local CSD accounts held in the Nasdaq Dubai CSD.
Forms
Central Securities Depository (CSD)
Equties & Funds
Form A - Transfer of Securities with the Share Register Form B - Transfer of Shares in Nasdaq Dubai CSD Form C - Transfer of Shares from Nasdaq Dubai CSD Form D - Pledging Securities held in Nasdaq Dubai CSD Form E - Cross border transfer – MCDR (Egypt) to Nasdaq Dubai Form F - Cross border transfer – Nasdaq Dubai to MCDR (Egypt) Form G - CSD Transfer between Nasdaq Dubai CSD accounts Form H - Appointment of Paying Agent and Cash Disbursement Request Form I - Request for Issuing Security Identification Number Form J - Application for Transfer of Securities between Nasdaq Dubai CSD
Clearing
Derivatives
Form D1 - Give-up Or Take-up Request Form D2 - Match Out Request Form D3 - Trade Allocation Request Form D4 - Exercise Request Form D5 - Clearing Account Opening Form Form D6 - Collateral Release Request
Bank Guarantee
Form B1 - Bank Guarantee Allocation Form Bank Guarantee Template
