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Procedures and Trading Manuals

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

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Trading Manual for Securities (Equities, ETFs and Structured Products) - V4.3This 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.
Nasdaq Dubai Trading Manual for Derivatives V3.9This 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 FuturesThe 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.
Nasdaq Dubai Trading Manual for Debt Securities - V1.6This 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 & Settlement Procedures

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Clearing, Settlement and Risk management Procedures for Securities - V1.83The document is designed to explain post trade activities in Securities for operations teams at clearing members.
Clearing, Settlement and Risk management Procedures for Derivatives V1.74The document is designed to explain post trade activities in Derivatives for operations teams at clearing members.

Other Procedures

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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.
Link with Computershare Canada
Transfer Process between Nasdaq Dubai and Computershare Canada
Transfer from Computershare Canada to Nasdaq Dubai Annexure E04bTransfer from Computershare Canada to Nasdaq Dubai Annexure E04b
Transfer from Nasdaq Dubai to Computershare Canada Annexure E05bTransfer from Nasdaq Dubai to Computershare Canada Annexure E05b
Form B - Transfer of Shares in Nasdaq Dubai CSDApplication for Transfer of Securities into the Nasdaq Dubai Central Securities Depository (CSD)

Forms

Trading
Trade Reporting Form
Central Securities Depository (CSD) - Equties & Funds
Form A - Transfer of Securities with the Share RegisterForm B - Transfer of Shares in Nasdaq Dubai CSDForm C - Transfer of Shares from Nasdaq Dubai CSDForm D - Pledging Securities held in Nasdaq Dubai CSDForm E - Cross border transfer – MCDR (Egypt) to Nasdaq DubaiForm F - Cross border transfer from Nasdaq Dubai to MCDR EgyptForm G - CSD Transfer between Nasdaq Dubai CSD accountsForm H - Appointment of Paying Agent and Cash Disbursement RequestForm I - Request for Issuing Security Identification Number V3[37]Form J - Application for Transfer of Securities between Nasdaq Dubai CSD
Clearing - Derivatives
Form D1 - Give-up Or Take-up RequestForm D2 - Match Out RequestForm D3 - Trade Allocation RequestForm D4 - Exercise RequestForm D5 - Clearing Account Opening FormForm D6 - Collateral Release Request
Clearing - Bank Guarantee
Bank Guarantee Allocation FormBank Guarantee Template