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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
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Conduct of Business Module (COB) [VER33/07-19]
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  Versions
(1 version)
 
Jul 1 2008 onwards

COB 3.5.3 Guidance



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.

In relation to COB Rule 3.5.3 (1), in circumstances where an Authorised FirmG believes on reasonable grounds that the Client'sG interests are better served by a PersonG to whom the referral is to be made, any commission or other benefit which the firm or any of its EmployeesG or AssociatesG receives in respect of such a referral would not be a prohibited inducement under that Rule.

Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]