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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
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
Notices
Financial Markets Tribunal
Archive

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COB 3.3.1



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.

The Rules in this section do not apply to an Authorised FirmG when it is:

(a) carrying on a Financial ServiceG with or for a Market CounterpartyG ;
(b) Accepting DepositsG ;
(c) Providing CreditG ;
(d) carrying on an activity of the kind described in GEN Rule 2.26.1 that constitutes marketing; or
(e) a Fund ManagerG of a Fund OfferingG the UnitsG of a FundG it manages.
Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]
[Amended] DFSA RM68/2009 (Made 3rd January 2010). [VER17/01-10]
[Amended] DFSA RM72/2010 (Made 11th July 2010) [VER19/07-10]