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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)

Rulebook Modules

Anti-Money Laundering, Counter-Terrorist Financing and Sanctions Module (AML) [VER15/07-18]

Authorised Market Institutions (AMI) [VER18/02-17]

Auditor Module (AUD) [VER3/02-17]

Conduct of Business Module (COB) [VER32/02-19]

COB 1 Introduction

COB 2 Client Classification

COB 3 Core Rules — Investment Business, Accepting Deposits, Providing Credit, Providing Trust Services and Operating a Crowdfunding Platform

COB 4 Additional Rules — Accepting Deposits and Providing Credit

COB 5 Additional Rules — Providing Trust Services

COB 6 Additional Rules — Investment Business

COB 7 Core Rules — Insurance

COB 8 Specific Rules – Operating A Credit Rating Agency

COB 9 Additional Rules: Operating an Alternative Trading System

COB 10 Custody Providers Acting as a Central Securities Depository ("CSD")

COB 11 Crowdfunding

COB App 1 Records of Orders and Transactions

COB App 2 Key Information and Client Agreement

COB App 3 Confirmation of Transactions

COB App 4 Periodic Statements

COB App 5 Client Money Provisions

COB A5.1 Application

COB A5.2 General Requirements

COB A5.2.2

COB A5.3 Payment of Client Money into Client Accounts

COB A5.4 Client Accounts

COB A5.5 Exceptions to Holding Client Money in Client Accounts

COB A5.6 Appointment of a Third Party Agent

COB A5.7 Payment of Client Money to a Third Party Agent

COB A5.8 Payment of Client Money from Client Accounts

COB A5.9 Client Disclosure

COB A5.10 Client Reporting

COB A5.11 Reconciliation

COB A5.12 Auditor's Reporting Requirements

COB A5.13 Client Money Distribution Rules

COB A5.14 Failure to Comply with this Appendix

COB App 6 Safe Custody Provisions

Collective Investment Rules (CIR) [VER24/02-19]

Fees Module (FER) [VER20/02-19]

Fund Protocol Rules (FPR) [VER1/02-19]

General Module (GEN) [VER43/02-19]

Glossary Module (GLO) [VER43/02-19]

Islamic Finance Rules (IFR) [VER13/12-18]

Markets Rules (MKT) [VER14/02/19]

Price Stabilisation Module (PRS) [VER7/04-18]

Prudential — Insurance Business Module (PIN) [VER15/01-18]

Prudential — Investment, Insurance Intermediation and Banking Module (PIB) [VER33/02-19]

Recognition (REC) [VER12/01-18]

Representative Office Module (REP) [VER10/04-18]

Takeover Rules Module (TKO) [VER7/02-16]

Sourcebook Modules

Consultation Papers

Policy Statements

DFSA Codes of Practice

Amendments to Legislation

Financial Markets Tribunal

Connected by Complinet

Location: Dubai Financial Services Authority (DFSA) > Rulebook Modules > Conduct of Business Module (COB) [VER32/02-19] > COB App 5 Client Money Provisions > COB A5.2 General Requirements > COB A5.2.2

COB A5.3 Payment of Client Money into Client Accounts

Versions
(1 version)

Jul 1 2008 onwards

COB A5.2.2

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.

An Authorised Firm^G which holds or controls Client Money^G for a Segregated Client^G must:

(a) comply with the Client Money Provisions^G in relation to that Client Money^G ; and

(b) have systems and controls in place to be able to evidence compliance with the Client Money Provisions^G .

Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]

COB A5.3 Payment of Client Money into Client Accounts