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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
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Conduct of Business Module (COB) [VER33/07-19]
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  Versions
(1 version)
 
Jul 1 2008 onwards

COB 6.3.8

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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 COB Rule 6.3.7, when an Authorised FirmG accepts a mandate to manage an OfferG , it must take reasonable steps to disclose to its corporate finance ClientG :

(a) the process the Authorised FirmG proposes to adopt in order to determine what recommendations it will make about allocations for the OfferG ;
(b) details of how the target investor group, to whom it is planned to OfferG the SecuritiesG , will be identified;
(c) the process through which recommendations are prepared and by whom; and
(d) (if relevant) that it may recommend placing SecuritiesG with a ClientG of the Authorised FirmG for whom the Authorised FirmG provides other services, with the Authorised Firm'sG own proprietary book, or with an AssociateG , and that this represents a potential conflict of interest.
Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]