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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]
Sourcebook Modules
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Financial Markets Tribunal
Archive

Whole SectionText only Print Print Manager Link


  Versions
(1 version)
 
Jul 1 2008 onwards

COB 6.3.7



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.

When an Authorised FirmG carries out a mandate to manage an OfferG of SecuritiesG , it must implement adequate internal arrangements, in accordance with COB section 3.5, to manage any conflicts of interest that may arise as a result of the Authorised Firm'sG duty to two distinct sets of ClientsG namely the corporate finance ClientG and the investment ClientG .

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