Dubai Financial Services Authority

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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)

Rulebook Modules

Anti-Money Laundering, Counter-Terrorist Financing and Sanctions Module (AML) [VER15/07-18]

Authorised Market Institutions (AMI) [VER18/02-17]

Auditor Module (AUD) [VER3/02-17]

Conduct of Business Module (COB) [VER32/02-19]

COB 1 Introduction

COB 2 Client Classification

COB 3 Core Rules — Investment Business, Accepting Deposits, Providing Credit, Providing Trust Services and Operating a Crowdfunding Platform

COB 4 Additional Rules — Accepting Deposits and Providing Credit

COB 5 Additional Rules — Providing Trust Services

COB 6 Additional Rules — Investment Business

COB 7 Core Rules — Insurance

COB 8 Specific Rules – Operating A Credit Rating Agency

COB 9 Additional Rules: Operating an Alternative Trading System

COB 10 Custody Providers Acting as a Central Securities Depository ("CSD")

COB 11 Crowdfunding

COB App 1 Records of Orders and Transactions

COB App 2 Key Information and Client Agreement

COB A2.1 Key Information and Content of the Client Agreement

Core Information

Additional Information for Investment Business

Additional Information for Investment Management Activities

Additional terms for Crowdfunding Platforms

COB A2.1.6

COB App 3 Confirmation of Transactions

COB App 4 Periodic Statements

COB App 5 Client Money Provisions

COB App 6 Safe Custody Provisions

Collective Investment Rules (CIR) [VER24/02-19]

Fees Module (FER) [VER20/02-19]

Fund Protocol Rules (FPR) [VER1/02-19]

General Module (GEN) [VER43/02-19]

Glossary Module (GLO) [VER43/02-19]

Islamic Finance Rules (IFR) [VER13/12-18]

Markets Rules (MKT) [VER14/02/19]

Price Stabilisation Module (PRS) [VER7/04-18]

Prudential — Insurance Business Module (PIN) [VER15/01-18]

Prudential — Investment, Insurance Intermediation and Banking Module (PIB) [VER33/02-19]

Recognition (REC) [VER12/01-18]

Representative Office Module (REP) [VER10/04-18]

Takeover Rules Module (TKO) [VER7/02-16]

Sourcebook Modules

Consultation Papers

Policy Statements

DFSA Codes of Practice

Amendments to Legislation

Financial Markets Tribunal

Connected by Complinet

Location: Dubai Financial Services Authority (DFSA) > Rulebook Modules > Conduct of Business Module (COB) [VER32/02-19] > COB App 2 Key Information and Client Agreement > COB A2.1 Key Information and Content of the Client Agreement > Additional terms for Crowdfunding Platforms > COB A2.1.6

COB App 3 Confirmation of Transactions

Versions
(1 version)

Aug 1 2017 onwards

COB A2.1.6

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 following terms must be included in a Client Agreement^G between a Crowdfunding Operator^G and a Client^G that is a borrower or an Issuer:

(a) a restriction on the borrower or Issuer^G using any other crowdfunding service to raise funds during the commitment period;

(b) a restriction on the borrower or Issuer^G or any Person^G that is Connected^G to the borrower or Issuer^G , lending or financing, or arranging lending or finance for a lender or an investor using the service;

(c) a restriction on the borrower or Issuer^G advertising its proposal, or soliciting potential lenders or investors, outside the platform during the commitment period;

(d) a requirement on the borrower or Issuer^G to give reasonable advance notice to the operator of any material change affecting the borrower or Issuer^G , its business or the carrying out of its proposal;

(e) the obligations of the borrower or Issuer^G if there is any material change after funds have been provided; and

(f) an obligation on the borrower or Issuer^G to produce financial statements at least annually.

[Added] DFSA RMI202/2017 (Made 14th June 2017). [VER29/08-17]

COB App 3 Confirmation of Transactions