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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
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Financial Markets Tribunal
Archive

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  Versions
(1 version)
 
Jul 1 2008 onwards

COB 3.5.4

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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.

To view past versions of this module in PDF format, please visit the Archive.

An Authorised FirmG may only accept goods and services under a Soft Dollar AgreementG if the goods and services are reasonably expected to:

(a) assist in the provision of Investment BusinessG services to the Authorised Firm'sG ClientsG by means of:
(i) specific advice on dealing in, or on the value of, any InvestmentG ;
(ii) research or analysis relevant to (i) or about InvestmentsG generally; or
(iii) use of computer or other information facilities to the extent that they are associated with specialist computer software or research services, or dedicated telephone lines;
(b) provide custody services relating to InvestmentsG belonging to, or managed for, ClientsG ;
(c) provide services relating to portfolio valuation or performance measurement services; or
(d) provide market price services.
Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]