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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
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
Financial Markets Tribunal

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(2 versions)
Jul 1 2008 - Jul 31 2017Aug 1 2017 onwards

COB 6.1.1

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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.

(1) The Rules in this chapter apply to an Authorised FirmG when conducting Investment BusinessG .
(2) COB Sections 6.11, 6.12, 6.13 and 6.14 also apply to an Authorised FirmG in respect of Client AssetsG that it holds or controls (within the meaning of Rule 6.11.4) in the course of, or in connection with, Operating a Crowdfunding PlatformG .
(3) The requirements in this chapter apply to an Authorised FirmG regardless of the classification of the ClientG , unless expressly provided otherwise.
Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]
[Amended] DFSA RMI202/2017 (Made 14th June 2017). [VER29/08-17]