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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 6.14.1



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) An Authorised FirmG must maintain records:
(a) which enable the Authorised FirmG to demonstrate compliance with COB Rule 6.11.2; and
(b) which enable the Authorised FirmG to demonstrate and explain all entries of Client InvestmentsG and CollateralG held or controlled in accordance with this chapter.
(2) Records must be kept for a minimum of six years.
Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]