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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]
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

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  Versions
(1 version)
 
Jul 1 2008 onwards

COB 6.3.2 Guidance



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 Firm'sG procedures, controls and internal arrangements, which may include Chinese WallsG , should limit the extent of Investment AnalystsG participation in corporate finance business and sales and trading activities, and ensure remuneration structures do not affect their independence.

Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]