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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Rulebook Modules
Conduct of Business Module (COB) [VER33/07-19]
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Financial Markets Tribunal

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(1 version)
Aug 16 2012 onwards

COB 8 Specific Rules – Operating A Credit Rating Agency

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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.

COB 8.1 Application
COB 8.1.1
COB 8.2 Additional Principles for Credit Rating Agencies
COB 8.2 Guidance
Principle 1 – Quality and integrity
Principle 2 – Independence and conflicts of interest
Principle 3 – Transparency and disclosure
COB 8.3 Quality of the rating process
Policies and procedures
Methodologies and models
Rating Analysts
Credit Ratings
On-going monitoring and review of the Credit Ratings
COB 8.4 Integrity of the credit rating process
Policies and procedures
COB 8.5 Conflicts of interest and independence
COB 8.5 Guidance
Policies and procedures
Provision of consultancy and ancillary services
Credit Rating Agency fees
Other conflicts of interest
COB 8.6 Independence of Rating Analysts and other Employees
Policies and procedures
Remuneration and reporting lines
COB 8.7 Transparency and disclosure
Policies and procedures
Communication of information
COB 8.8 Disclosure and presentation of Credit Ratings
General Disclosure
Specific Disclosure - Fees and Charges
Specific Disclosure – Structured financial products
COB 8.9 Confidential information
COB 8.9.1
COB 8.9.2
COB 8.9.3
COB 8.10 Record keeping
COB 8.10.1