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Dubai Financial Services Authority (DFSA): Contents

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Conduct of Business Module (COB) [VER28/02-17]
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Conduct of Business Module (COB) [VER28/02-17]

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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.


Contents:
COB 1 Introduction
COB 1.1 Application
COB 2 Client Classification
COB 2.1 Application
COB 2.2 Overview
COB 2.3 Types of Clients
COB 2.4 Procedures relating to client classification
COB 2.5 Record keeping
COB 2.6 Transitional Rules
COB 3 Core Rules — Investment Business, Accepting Deposits, Providing Credit and Providing Trust Services
COB 3 Guidance
COB 3.1 Application
COB 3.2 Communication of Information and Marketing Material
COB 3.3 Key Information and Client Agreement
COB 3.4 Suitability
COB 3.5 Conflicts of Interest
COB 3.6 Record Keeping
COB 4 Additional Rules — Accepting Deposits and Providing Credit
COB 4.1 Application
COB 4.2 Accepting Deposits
COB 4.3 Providing Credit
COB 4.4 Depositor protection
COB 5 Additional Rules — Providing Trust Services
COB 5.1 Application
COB 5.2 General
COB 5.3 Reviews
COB 5.4 Professional Indemnity Insurance Cover
COB 5.5 Dual Control
COB 5.6 Internal Reporting
COB 5.7 Recording of Selection Criteria
COB 5.8 Qualification and Experience of Trust Service Provider Staff
COB 5.9 Books and Records
COB 5.10 Due Diligence
COB 5.11 Fitness and Propriety of Persons Acting as Trustees
COB 6 Additional Rules — Investment Business
COB 6.1 Application
COB 6.2 Personal Account Transactions
COB 6.3 Investment Research and Offers of Securities
COB 6.4 Best Execution
COB 6.5 Non-market Price Transactions
COB 6.6 Aggregation and Allocation
COB 6.7 Record Keeping — Voice and Electronic Communications
COB 6.8 Other Dealing Rules
COB 6.9 Confirmation Notes
COB 6.10 Periodic Statements
COB 6.11 Client Assets
COB 6.12 Client Money
COB 6.13 Client Investments
COB 6.14 Record Keeping
COB 6.15 Advising on or Arranging Direct Long-Term Insurance
COB 6.15 Advising on or Arranging Direct Long-Term Insurance
COB 7 Core Rules — Insurance
COB 7.1 Application and Interpretation
COB 7.1A Table Illustrating the Application of the Rules in this Chapter
COB 7.2 Insurance Business, Management and Intermediation Restrictions
COB 7.3 Communication of Information and Marketing Material
COB 7.4 Client's Duty of Disclosure
COB 7.5 Authorised Firm's Duty of Disclosure
COB 7.6 Disclosure of Costs and Remuneration
COB 7.7 Information About the Proposed Insurance
COB 7.8 Suitability
COB 7.9 Managing Conflicts of Interest
COB 7.10 Placement of Insurance
COB 7.11 Providing an Ongoing Service
COB 7.12 Insurance Monies
COB 8 Specific Rules – Operating A Credit Rating Agency
COB 8.1 Application
COB 8.2 Additional Principles for Credit Rating Agencies
COB 8.3 Quality of the rating process
COB 8.4 Integrity of the credit rating process
COB 8.5 Conflicts of interest and independence
COB 8.6 Independence of Rating Analysts and other Employees
COB 8.7 Transparency and disclosure
COB 8.8 Disclosure and presentation of Credit Ratings
COB 8.9 Confidential information
COB 8.10 Record keeping
COB 9 Additional Rules: Operating an Alternative Trading System
COB 9.1 Application and interpretation
COB 9.2 Main requirements relating to trading on the facility
COB 9.3 Member access criteria
COB 9.4 Investment criteria
COB 9.5 Technology resources
COB 9.6 Proper Markets
COB 9.7 Specific requirements applicable to Persons operating an OTF
COB 10 Custody Providers Acting as a Central Securities Depository ("CSD")
COB 10.1 Application and interpretation
COB 10.2 Additional requirements for CSDs
COB App 1 Records of Orders and Transactions
COB A1.1 Minimum Contents of Transaction Records
COB App 2 Key Information and Client Agreement
COB A2.1 Key Information and Content of the Client Agreement
COB App 3 Confirmation of Transactions
COB A3.1 Content of Confirmation Notes
COB App 4 Periodic Statements
COB A4.1 Content of Periodic Statements: Investment Management
COB App 5 Client Money Provisions
COB A5.1 Application
COB A5.2 General Requirements
COB A5.3 Payment of Client Money into Client Accounts
COB A5.4 Client Accounts
COB A5.5 Exceptions to Holding Client Money in Client Accounts
COB A5.6 Appointment of a Third Party Agent
COB A5.7 Payment of Client Money to a Third Party Agent
COB A5.8 Payment of Client Money from Client Accounts
COB A5.9 Client Disclosure
COB A5.10 Client Reporting
COB A5.11 Reconciliation
COB A5.12 Auditor's Reporting Requirements
COB A5.13 Client Money Distribution Rules
COB A5.14 Failure to Comply with this Appendix
COB App 6 Safe Custody Provisions
COB A6.1 Application
COB A6.2 General Requirements
COB A6.3 Recording, Registration and Holding Requirements
COB A6.4 Client Accounts in relation to Client Investments
COB A6.5 Holding or Arranging Custody with Third Party Agents
COB A6.6 Safe Custody Agreements with Third Party Agents
COB A6.7 Client Disclosure
COB A6.8 Client Reporting
COB A6.9 Reconciliation
COB A6.10 Auditor's Reporting Requirements