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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]
COB 6 Additional Rules — Investment Business
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Financial Markets Tribunal

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(1 version)
Jul 1 2008 onwards

COB 6.3.2

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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 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]