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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
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Rulebook Modules
Conduct of Business Module (COB) [VER33/07-19]
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COB 6.12.2

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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) An Authorised FirmG in Category 4G must not hold Client MoneyG , except if it does so in connection with it Operating a Crowdfunding PlatformG .
(2) An Authorised FirmG which holds or controls Client MoneyG for a ClientG must, subject to (3), comply with the Client Money ProvisionsG in App5.
(3) Where the ClientG is a Market CounterpartyG , an Authorised FirmG may exclude the application of the Client Money ProvisionsG but only where it has obtained the prior written consent of the Market CounterpartyG to do so.
Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]
[Amended] DFSA RM66/2009 (Made 1st August 2009). [VER16/08-09]
[Amended] DFSA RM113/2012 (Made 15th October 2012). [VER21/12-12]
[Amended] DFSA RMI202/2017 (Made 14th June 2017). [VER29/08-17]