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) [VER33/07-19]
COB 6 Additional Rules — Investment Business
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Notices
Financial Markets Tribunal
Archive

Whole SectionText only Print Print Manager Link


  Versions
(1 version)
 
Jul 1 2008 onwards

COB 6.3.2

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.

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

An Authorised FirmG that prepares and publishes Investment ResearchG must have adequate procedures and controls to ensure:

(a) the effective supervision and management of Investment AnalystsG ;
(b) that the actual or potential conflicts of interest are proactively managed in accordance with COB section 3.5 ;
(c) that the Investment ResearchG issued to ClientsG is impartial; and
(d) that the Investment ResearchG contains the disclosures described under Rules COB 6.3.3 and COB 6.3.4.
Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]