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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
Rulebook Modules
Conduct of Business Module (COB) [VER32/02-19]
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Notices
Financial Markets Tribunal
Archive

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Jul 1 2008 - Jan 3 2009Jan 4 2009 onwards

COB 6.7.1

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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.

(1) An Authorised FirmG must, subject to (2), take reasonable steps to ensure that it makes and retains recordings of its voice and electronic communications when such communications are with a ClientG or with another PersonG in relation to a TransactionG , including the receiving or passing of related instructions.
(2) The obligation in (1) does not apply in relation to voice and electronic communications which are not intended to lead to the conclusion of a specific TransactionG and are general conversations or communications about market conditions.
[Amended] DFSA RM61/2008 (Made 4th January 2009) [VER15/01-09]
Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]