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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Rulebook Modules
Conduct of Business Module (COB) [VER33/07-19]
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Financial Markets Tribunal

Whole SectionText only Print Print Manager Link

(1 version)
Jul 1 2008 onwards

COB A5.6.2 Guidance

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.

When assessing the suitability of a Third Party AgentG , an Authorised FirmG should have regard to:

a. its credit rating;
b. its capital and financial resources in relation to the amount of Client MoneyG held;
c. the insolvency regime of the jurisdiction in which it is located;
d. its regulatory status and history;
e. its GroupG structure; and
f. its use of agents and service providers.
Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]