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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
Rulebook Modules
Conduct of Business Module (COB) [VER28/02-17]
COB App 1 Records of Orders and Transactions
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Notices
Financial Markets Tribunal
Archive

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  Versions
(1 version)
 
Jul 1 2008 onwards

COB App 1 Records of Orders and Transactions

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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.


Contents:
COB A1.1 Minimum Contents of Transaction Records
Receipt of Client Order or Discretionary Decision to Transact
Executing a Transaction
Passing a Client Order to Another Person for Execution