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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Recognised Jurisdictions and Funds
Declaration Notices
Financial Markets Tribunal
Rulebook Modules
Conduct of Business Module (COB) [VER34/01-20]
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases

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(1 version)
Apr 1 2015 onwards

COB 2 Client Classification

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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 2.1 Application
COB 2.1.1
COB 2.2 Overview
COB 2.2 Guidance
COB 2.3 Types of Clients
COB 2.3.1
Retail Clients
Professional Clients
'Deemed' Professional Clients
'Service-based' Professional Clients
'Assessed' Professional Clients
COB 2.4 Procedures relating to client classification
Option for a Professional Client to be classified as a Retail Client
Assessment of net assets
Assessment of knowledge and experience
Reliance on a classification made elsewhere
Group clients
COB 2.5 Record keeping
COB 2.5.1
COB 2.5.2
COB 2.5.3
COB 2.6 Transitional Rules
COB 2.6.1
COB 2.6.2
COB 2.6.3