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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
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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 3.6.1



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.

An Authorised FirmG must, for a minimum of six years, maintain sufficient records in relation to each activity and function of the Authorised FirmG . These must include, where applicable, the following:

(a) any marketing material issued by, or on behalf of, the Authorised FirmG ;
(b) any financial products or Financial ServicesG provided to a ClientG and each advice or recommendation made to a ClientG ,
(c) a record of each Client AgreementG including any subsequent amendments to it as agreed with the ClientG ;
(d) records relating to the suitability assessment undertaken by the Authorised FirmG to demonstrate compliance with COB Rule 3.4.2;
(e) records to demonstrate compliance with the requirements relating to inducements under COB section 3.5, including any disclosure made to ClientsG under that section and if any goods and services are received by the Authorised FirmG under a Soft Dollar AgreementG , the details relating to those agreements; and
(f) any other disclosures made to ClientsG .
Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]