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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 A3.1.1



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) For the purposes of COB Rule 6.9.2, an Authorised FirmG must include the following general information:
(a) the Authorised Firm'sG name and address;
(b) whether the Authorised Firm ExecutedG the TransactionG as principal or agent;
(c) the Client'sG name, account number or other identifier;
(d) a description of the InvestmentG or FundG , including the amount invested or number of units involved;
(e) whether the TransactionG is a sale or purchase;
(f) the price or unit price at which the TransactionG was ExecutedG ;
(g) if applicable, a statement that the TransactionG was ExecutedG on an Execution-Only basis;
(h) the date and time of the TransactionG ;
(i) the total amount payable and the date on which it is due;
(j) the amount of the Authorised FirmsG charges in connection with the TransactionG , including CommissionG charges and the amount of any Mark-up or Mark-down, FeesG , taxes or duties;
(k) the amount or basis of any charges shared with another PersonG or statement that this will be made available on request; and
(l) for Collective Investment FundsG , at statement that the price at which the TransactionG has been ExecutedG is on a Historic PriceG or Forward PriceG basis, as the case may be.
(2) An Authorised FirmG may combine items (f) and (j) in respect of a TransactionG where the ClientG has requested a note showing a single price combining both of these items.
Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]