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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
Consultation Papers
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DFSA Codes of Practice
Amendments to Legislation
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Financial Markets Tribunal
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Jul 1 2008 - Jan 31 2017Feb 1 2017 onwards

COB 6.11.4

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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.

Client AssetsG are held or controlled by an Authorised FirmG if they are:

(a) directly held by the Authorised FirmG ;
(b) held in an account in the name of the Authorised FirmG ;
(c) held by a PersonG , or in an account in the name of a PersonG , controlled by the Authorised FirmG ; or
(d) held in the Client's own name, but the Authorised FirmG has a mandate from the ClientG to manage those assets on a discretionary basis.
Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]
[Amended] DSFA RM185/2016 (Made 7th December 2016). [VER28/02-17]