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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
Rulebook Modules
Conduct of Business Module (COB) [VER28/02-17]
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DFSA Codes of Practice
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Financial Markets Tribunal
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  Versions
(1 version)
 
Jul 1 2008 onwards

COB 3 Core Rules — Investment Business, Accepting Deposits, Providing Credit and Providing Trust Services

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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 3 Guidance
COB 3.1 Application
COB 3.1.1
COB 3.2 Communication of Information and Marketing Material
General
Marketing Material
Past Performance and Forecasts
COB 3.3 Key Information and Client Agreement
Application
Changes to the Client Agreement
Reliance on a Client Agreement made by another entity
COB 3.4 Suitability
Application
Suitability Assessment
COB 3.5 Conflicts of Interest
Fair Treatment
Attribution of Knowledge
Inducements
COB 3.6 Record Keeping
COB 3.6.1
COB 3.6.2