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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
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Conduct of Business Module (COB) [VER33/07-19]
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  Versions
(1 version)
 
Jul 1 2008 onwards

COB 6.9.2



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.

(1) When an Authorised Firm Executes a TransactionG in an InvestmentG for a ClientG , it must ensure a confirmation note is sent to the ClientG as soon as possible and in any case no later than 2 business days following the date of ExecutionG of the TransactionG .
(2) Where an Authorised FirmG has executed a TransactionG or series of TransactionsG in accordance with COB Rule 6.8.5, the Authorised FirmG must send a confirmation note relating to those TransactionsG as soon as possible, but no later than 2 business days following the last TransactionG .
(3) The confirmation note must include the details of the TransactionG in accordance with App3 COB section A3.1.
(4) An Authorised FirmG is not required to issue a confirmation note where a Professional ClientG has advised in writing that he does not wish to receive such confirmation notes.
Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]