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COB 3.5.6
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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
Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]