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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
(2 versions)
 
Jul 1 2008 - Aug 15 2012Aug 16 2012 onwards

COB 6.3.4

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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.

For the purposes of this section, an Authorised FirmG must take reasonable steps to ensure that when it publishes Investment ResearchG , and in the case where a representative of the Authorised FirmG makes a Public AppearanceG , disclosure is made of the following matters:

(a) any financial interest or material interest that the Investment AnalystG or a Close RelativeG of the analyst has, which relates to the InvestmentG ;
(b) the reporting lines for Investment AnalystsG and their remuneration arrangements where such matters give rise to any conflicts of interest which may reasonably be likely to impair the impartiality of the Investment ResearchG ;
(c) any shareholding by the Authorised FirmG or its AssociateG of 1% or more of the total issued share capital of the Issuer;
(d) if the Authorised FirmG or its AssociateG acts as corporate broker for the IssuerG ;
(e) any material shareholding by the IssuerG in the Authorised FirmG ;
(f) any corporate finance business undertaken by the Authorised FirmG with or for the IssuerG over the past 12 months, and any future relevant corporate finance business initiatives; and
(g) that the Authorised FirmG is a Market MakerG in the InvestmentG , if that is the case.
Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]
[Amended] DFSA RM97/2012 (Made 24th July 2012) [VER20/07-12]