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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
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Conduct of Business Module (COB) [VER32/02-19]
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  Versions
(1 version)
 
Jul 1 2008 onwards

COB A2.1.2



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) In the case of a Retail ClientG , the core information for the purposes of COB A2.1.1(a) is:
(a) the name and address of the Authorised FirmG , and if it is a SubsidiaryG , the name and address of the ultimate Holding CompanyG ;
(b) the regulatory status of the Authorised FirmG ;
(c) when and how the Client AgreementG is to come into force and how the agreement may be amended or terminated;
(d) sufficient details of the service that the Authorised FirmG will provide, including where relevant, information about any product or other restrictions applying to the Authorised FirmG in the provision of its services and how such restrictions impact on the service offered by the Authorised FirmG . If there are no such restrictions, a statement to that effect;
(e) details of fees, costs and other charges and the basis upon which the Authorised FirmG will impose those fees, costs and other charges;
(f) details of any conflicts of interests for the purposes of disclosure under COB Rule 3.5.1(2)(b);
(g) details of any Soft Dollar AgreementG required to be disclosed under Rules COB 3.5.6 and COB 3.5.7; and
(h) key particulars of the Authorised Firm'sG ComplaintsG handling procedures and a statement that a copy of the procedures is available free of charge upon request in accordance with GEN Rule 9.2.11.
(2) In the case of a Professional ClientG , the core information for the purposes of COB A2.1.1(a) is the information referred to in (1)(a), (b), (c) and (e).
Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]