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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

Whole SectionText only Print Print Manager Link

(2 versions)
Jul 1 2008 - Jan 31 2017Feb 1 2017 onwards

COB 3.2.4

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.

(1) An Authorised FirmG must ensure that any marketing material communicated to a PersonG contains the following information:
(a) the name of the Authorised FirmG communicating the marketing material or, on whose behalf the marketing material is being communicated;
(b) the Authorised Firm'sG regulatory status as required under GEN section 6.4; and
(c) if the marketing material is intended only for Professional ClientsG or Market CounterpartiesG , a clear statement to that effect and that no other PersonG should act upon it.
(2) In (1), marketing material includes any invitation or inducement to enter into an agreement:
(a) in relation to a financial product or to engage in a Financial ServiceG with the Authorised FirmG ; or
(b) in relation to a financial product or financial service offered by a PersonG other than the Authorised FirmG .
(3) An Authorised FirmG which communicates marketing material in (2)(b) must:
(a) ensure that the marketing material complies with the applicable Rules and any legislation administered by the DFSA; and
(b) not distribute such marketing material if it becomes aware that the PersonG offering the financial product or financial service to which the material relates is in breach of the regulatory requirements that apply to that PersonG in relation to that product or service.
Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]
[Amended] DSFA RM185/2016 (Made 7th December 2016). [VER28/02-17]