Dubai Financial Services Authority

Rulebooks & Regulatory Update User Guide

The purpose of this guide is to help you to make the most of the Rulebooks & Regulatory Update service.

If you would like a demonstration of this product or have any questions please email clientsupport@complinet.com.

How do I use the guide?

This guide is presented as a list of frequently asked questions that cover the most important aspects of the service and the features that you may use everyday.

The list is divided into four parts corresponding with the main areas of the service:

Rulebooks - a comprehensive list of rulebooks, listings, legislation and consolidated legislation
Updates - the latest legal updates to the rulebooks or legislation
News - commentary and analysis on changes in regulation
Reports - the ability to build your own customised rulebook

RULEBOOKS

How do I find a particular section of a rulebook or piece of legislation?

There are two ways to find a particular section of the rulebook.

If you know which rulebook you need, go to the 'Choose rulebook' section on the Rulebook & Regulatory homepage and click on the 'Browse' button beneath the Rulebook you require. Thereafter navigate through the Rulebook using the contents listed in the left hand menu.
If you do not know where a particular section is located, go to the search window using the 'Search' button at the top left of the screen and select 'Search multiple rulebooks'. For more information on how to perform a search, please refer to the search section below.

How do I know where I am within a rulebook?

As you move through a rulebook there are two ways in which you can keep track of where you are within that book:

The left menu will always show your current location emboldened in black.
From the text window you can see your location by following the breadcrumbs. The title of the previous and the next sections of the book are indicated by red chevrons and appear at the top and bottom of the main text window.

How do I find sections that contain a particular word or phrase?

You can find rules or sections which contain keywords or phrases by using the search facility. Select 'Search' from the top menu.

1. Searching for a phrase or keyword in more than one rulebook

Click on the 'Search multiple rulebooks' window.

Search for: In the boxes provided enter the terms you want to search for.
Search from: Select the rulebooks you would like to search. Tick the box to select all rulebooks or select multiple rulebooks by using the case lock key and the down or up arrow on your keyboard.
Order results by: You can order the results by relevance i.e. how frequently your search term appears in each section or you can order by relevance in each rulebook i.e. the results will be grouped by rulebook and then ordered by relevance.
View results: On clicking the 'Search' button the results will be displayed in the same window. Click on a result to view that section with the search terms highlighted.
Search again: To return to your search use the back button on your computer.

2. Searching for a phrase or keyword in one rulebook

Once you have selected a rulebook the search window will offer you the added option to search only within that selected rulebook. The Rulebook you are in will appear as the top title in the Search control panel above the 'Search multiple rulebooks' title.

You are now presented with four steps to perform your search.

Search for: In the boxes provided enter the terms you want to search for.
Search from: Select the sections in which you would like to restrict your search. Tick the box to search the whole rulebook or select multiple sections by holding down the case lock key and using the down or up arrow on your keyboard.
Order results by: You can order your results relevance i.e. how frequently your search term appears in each section; by chapter i.e. grouping the results by chapter and then ordering them by relevance; or by rulebook i.e. grouping the results in the order that they appear in the rulebook.
View results: On clicking the 'Search' button the results will be displayed in the same window. Click on a result to view that section with the search terms highlighted.

Search again: To return to your search use the back button on your computer.

Where can I find waivers relating to a rule?

When browsing a rulebook you may see a box on the right of the text screen entitled 'Rule Waivers'. This only appears if there are waivers relevant to that particular section. Clicking on the arrow icon will open the list of waivers.

Clicking on the waiver number will take you to that waiver in pdf format.

If you would like to view all waivers or search waivers across Sourcebooks use the 'View Waivers' button at the top left of the screen.

The 'View Waivers' Panel allows you to select the whole Rulebook or individual Sourcebooks and to restrict your search by date.

The search results can then be displayed in date, chapter or rulebook order.

How do I annotate a rulebook?

When you are viewing a section of a rulebook you will notice the option 'Notes: Add a note'. Selecting this option will open a notepad into which you can type notes relating to the section. Selecting 'Save changes' will save this note for later use.

When you view a section that has already been annotated a box entitled 'Notes: This rule has a note' will appear on the right hand side of the text screen.

Clicking on the down arrow or the word 'Notes' will open the notes for this section.

You can edit or delete this note as required.

See 'How can I print sections of Rulebooks?' below for advice on printing notes.

How do I bookmark a rule/section?

Bookmarks are shortcuts to sections of rulebooks and are listed at the top of the left hand navigation window when browsing a rulebook.

To bookmark a section, first navigate to the relevant section so that it is open in the text window. Then select 'Bookmark' from the toolbar at the top of this window.

What are key rulebooks?

You can select to create your own list of most frequently used rulebooks by adding books to the 'Your Key Rulebooks' box.

By clicking on the 'Add to Key Rulebooks' button under the rulebook title you will move this rulebook into the 'Your Key Rulebooks' box. You can remove it again by clicking on the 'Remove from Key Rulebooks' button.

You may now choose to see related news and updates for your Key Rulebooks only, or across all Rulebooks, by clicking the link at the bottom of each respective box.

Can I email a section to a colleague?

Any section of the rulebook can be emailed to one or more colleagues.

To email a section, first navigate to the relevant section so that it is open in the main window. Then select 'Email' from the toolbar at the top of this window.

You are then required to enter the recipient's email address as well as your email address so that your colleague knows that it is coming from you. There is also the option of attaching a message to the email or to build an address book.

How can I print sections of the Rulebooks?

Go to any section of the rulebook you wish to print and select the print option.

You can print in two ways.

Using the simple 'Print' function

You may print the section displayed in your text screen by clicking the option at the top of the print manager containing the Rulebook name.

If you would like to print your notes with this section you will need to have the note open in your text screen.

Using the 'Print Manager'

You can build up a print job by selecting different sections of a rulebook, or different sections of different rulebooks using the drop down menu. You can go back to the drop down menu and change rulebooks as often as you like. Move sections into your print document by using the arrows.

Remember that a section may simply be a section or chapter heading so you will need to build up your print document using each individual element of a rule.

Select 'Include notes' if you also what to print out any notes.

Once you have selected 'Print Preview' the whole text of this document will appear in a new window. You can then elect to print or go back to the print manager to add or delete further sections.

UPDATES

Can I see which rulebooks have been updated?

There are three ways to view updates.

In the Rulebooks homepage you will see a box that contains all the latest updates across Rulebooks. Remember, you can view updates either for your key rulebooks only or across all rulebooks. (See 'What are Key Rulebooks?' above)
Once you are browsing a Rulebook you may view updates by clicking on the 'View updates' button which appears on the menu at the top left of the screen. All updated sections will be listed in the main text screen.

To limit your options in this view, use the 'View Updates' panel. This allows you to select Updates by Sourcebook, or Chapter and display results by date or chapter.

Clicking on the title will load that section of the rulebook and by clicking on the arrow next to the 'Versions' box on the right hand side of the screen you will be able to view previous or forthcoming versions of this rule.

You can also view updates whilst navigating the rulebooks.

When there are updates in a section, the left menu will show this symbol ' ' or the 'Versions' box will appear to the right of your text screen. If you click on the ' ' it will load the section containing versions in the text window. From here you can click on the 'Version' box to view previous or future versions of a rule.

Can I view a previous or future version of a rule?

As rulebooks are updated they will, by default, show the latest version of that rule but will store the obsolete versions of different sections for future reference or hold future versions which will come into force on a set day.

If a section has been updated, a 'Versions' box will appear on the right hand side of the text screen. Click on the title or arrow in this to open the list of versions. The current version is indicated by a small red dot. All other versions are links to stored previous or future version pages.

When you are viewing an older version of a rule you will see a warning message at the top of the page: There is a more up-to-date version of this section available.

When you are viewing a future version you will see a warning message: An earlier version of this rule is still current.

Could I be emailed any future updates to a rulebook?

As a subscriber to the Rulebooks & Regulatory Updates service you can sign-up to receive notification by email of future updates to any rulebook on the system.

To sign up, either click on the 'Get Updates by Email' link in the 'Recent Updates' box on the Rulebooks Homepage or, when browsing a Rulebook, navigate using the 'View Updates' button at the top left of the screen and click on the 'Get Updates by Email' link which appears at the bottom of the 'Viewing Controls - Update' box.

NEWS

Where can I see the latest news?

The latest news is displayed in the right hand window on the Rulebooks Homepage. You can view an article by clicking on the news headline. Remember, you have the option to view news relating to your key rulebooks only or across all rulebooks.

When browsing individual rulebooks you will always have the option to view news on that Rulebook by clicking on the 'View News' button at the top left of the screen. This will display all news on that Rulebook. By using the 'View News' panel you will be able to limit this view by Sourcebook, Chapter, Rulebook and Date and display in Date, Chapter or Rulebook order.

Can I email an article to a colleague?

Any article can be emailed to one or more colleagues.

To email an article, first navigate to the relevant article so that it is open in the main window. Then select 'Email' using the button which appears at the bottom of the article.

You are then required to enter the Recipient's email address as well as your email address so that your colleague knows that it is coming from you. There is also the option of attaching a message to the email or building an address book.

How do I print an article?

To print an article, first navigate to the relevant article so that it is open in the main window. Then select 'Print' using the button which appears at the bottom of the article.

How do I search the news for a keyword or phrase?

You can search for any article containing a particular phrase or keyword at anytime using the search from the top left hand menu. Select 'Search news', enter your phrase or keyword in the box and click 'Search'.

The page will then list the results of your search as the headlines of stories with the most relevant at the top of the list.

You can limit your search by Rulebook, Sourcebook, Chapter or date.

REPORTS

How do I create a report?

To create a report, first find a relevant section of a rulebook. Once you have opened the section you want, select 'Add to Report' from the menu bar at the top of the text window.

On the 'Make report' page, enter a name for the report or choose an existing report to which you would like to add content. Decide whether you want to include a note you have already written (tick the box), to write a new note or to not include a note. Finally select 'Add content' to build the report. You are given the choice to view the report now or return to the rulebook you were looking at.

You can add further sections and notes by repeating the above steps once you have found the relevant content. In this way you build up a customised Rulebook.

How do I browse reports?

You can access your reports at any time by going into the Report centre.

Click on the 'Reports' button on the top right of the screen to go to the Report centre. This will load a list of all your current reports. Click on the title of a report to view that report's contents. You now have the option to view the whole report in one section or to view the report section by section. To view the whole report in one page click on 'View All' at the top left of your screen.

You can also print the report from this screen using the 'Print' button.

Can I edit old reports?

First view the report that you wish to edit. If you then click on the 'Edit Report' button at the top left of the screen you will see listed the different elements, and any attached notes, which go to make up your custom rulebook. You can remove selected elements or update selected elements using the different sections displayed. You can also edit the title of the report in this section. You will need to either select the 'Remove' or the 'Update' button to affect any edits.

How do I contact an expert or get more information?

You can email clientsupport@complinet.com for expert advice or for help.

Our expert in-house compliance team is available to help you to interpret the rules and legislation and their impact on your firm. We also have a technical team available to help you with any technical problems you may have with the rulebooks.

Please also do email us with any feedback that you have about the service.