Home   Browse contents   View updates   Search  
     Quick search
Go
   

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

Whole SectionText only Print Print Manager Link


  Versions
(1 version)
 
Jul 1 2008 onwards

COB 6.7.4



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.

(1) When an Authorised FirmG receives a ClientG order or in the exercise of its discretion decides upon a TransactionG , it must promptly make a record of the information set out in App1 under COB Rule A1.1.1.
(2) When an Authorised Firm Executes a TransactionG , it must promptly make a record of the information set out in App1 under COB Rule A1.1.2.
(3) When an Authorised FirmG passes a ClientG order to another PersonG for ExecutionG , it must promptly make a record of the information set out in AppG 1 under COB Rule A1.1.3.
Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]