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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
Rulebook Modules
Conduct of Business Module (COB) [VER32/02-19]
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Notices
Financial Markets Tribunal
Archive

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  Versions
(1 version)
 
Jul 1 2008 onwards

COB 3.5.6



Whole Section PDF

The definitive version of DFSA handbook text is the PDF version as that is the text of the instrument as made and published by the DFSA.

To view past versions of this module in PDF format, please visit the Archive.

Before an Authorised FirmG enters into a TransactionG for or on behalf of a Retail ClientG or Professional ClientG , either directly or indirectly, with or through the agency of another PersonG , in relation to which there is a Soft Dollar AgreementG which the Authorised FirmG has, or knows that another member of its GroupG has, with that other PersonG , it must disclose to its ClientG :

(a) the existence of a Soft Dollar AgreementG ; and
(b) the Authorised Firm'sG or its Group'sG policy relating to Soft Dollar AgreementsG .
Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]