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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) [VER32/02-19]
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  Versions
(1 version)
 
Jul 1 2008 onwards

COB A2.1.3



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.

The additional information required under COB A2.1.1(b) for Investment BusinessG is:

(a) the arrangements for giving instructions to the Authorised FirmG and acknowledging those instructions;
(b) information about any agreed investment parameters;
(c) the arrangements for notifying the ClientG of any Transaction ExecutedG on his behalf;
(d) if the Authorised FirmG may act as principal in a TransactionG , when it will do so;
(e) the frequency of any periodic statements and whether those statements will include some measure of performance, and if so, what the basis of that measurement will be;
(f) when the obligation to provide best execution can be and is to be waived, a statement that the Authorised FirmG does not owe a duty of best execution or the circumstances in which it does not owe such a duty; and
(g) where applicable, the basis on which assets comprised in the portfolio are to be valued.
Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]