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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 A4.1.3



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.

In addition to Rules COB A4.1.1 and COB A4.1.1.2, in the case where Contingent Liability InvestmentsG are involved, an Authorised FirmG must include the following additional information:

(a) the aggregate of MoneyG transferred into and out of the portfolio during the valuation period;
(b) in relation to each open position in the account at the end of the account period, the unrealised profit or loss to the ClientG (before deducting or adding any CommissionG which would be payable on closing out);
(c) in relation to each Transaction ExecutedG during the account period to close out a Client'sG position, the resulting profit or loss to the ClientG after deducting or adding any CommissionG ;
(d) the aggregate of each of the following in, or relating to, the Client'sG portfolio at the close of business on the valuation date:
(i) cash;
(ii) CollateralG value;
(iii) management fees; and
(iv) commissions; and
(e) Option account valuations in respect of each open OptionG contained in the account on the valuation date stating:
(i) the ShareG , FutureG , index or other InvestmentG involved;
(ii) the trade price and date for the opening TransactionG , unless the valuation statement follows the statement for the period in which the OptionG was opened;
(iii) the market price of the contract; and
(iv) the exercise price of the contract.
Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]