Home   Browse contents   View updates   Search  
     Quick search
Go
   

Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
Rulebook Modules
Conduct of Business Module (COB) [VER28/02-17]
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Notices
Financial Markets Tribunal
Archive

Whole Section Print Print Manager Link


  Versions
(1 version)
 
Jul 1 2008 onwards

COB 6 Additional Rules — Investment Business

View whole sectionWhole 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.


Contents:
COB 6.1 Application
COB 6.1.1
COB 6.2 Personal Account Transactions
Conditions for Personal Account Transactions
Record Keeping
COB 6.3 Investment Research and Offers of Securities
Application
Disclosures in Investment Research
Restrictions on Publication
Restriction on Own Account Transactions
Offers of Securities
Disclosure
COB 6.4 Best Execution
Application
Providing Best Execution
Requirements
COB 6.5 Non-market Price Transactions
Application
General Prohibition
Record Keeping
COB 6.6 Aggregation and Allocation
Application
Aggregation of Orders
Allocation of Investments
Record Keeping
COB 6.7 Record Keeping — Voice and Electronic Communications
COB 6.7.1
COB 6.7.2
COB 6.7.3
Records of Orders and Transactions
COB 6.8 Other Dealing Rules
Application
Churning
Timely Execution
Fairly and in Due Turn
Averaging of Prices
Timely Allocation
Direct Electronic Access
COB 6.9 Confirmation Notes
Application
Sending Confirmation Notes
Record Keeping
COB 6.10 Periodic Statements
Application
Investment Management and Contingent Liability Investments
Record Keeping
COB 6.11 Client Assets
Application
General Requirements
Holding or Controlling Client Assets
COB 6.12 Client Money
COB 6.12.1
Client Money Provisions
Client Disclosure
Distribution Event
Record Keeping
COB 6.13 Client Investments
COB 6.13.1
COB 6.13.2
COB 6.13.3
Holding Collateral
COB 6.14 Record Keeping
COB 6.14.1
COB 6.15 Advising on or Arranging Direct Long-Term Insurance
COB 6.15.1
COB 6.15 Advising on or Arranging Direct Long-Term Insurance
[Deleted]
[Deleted]
[Deleted]
[Deleted]
[Deleted]
[Deleted]
[Deleted]