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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
Rulebook Modules
Conduct of Business Module (COB) [VER33/07-19]
Sourcebook Modules
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  Versions
(1 version)
 
Jul 1 2008 onwards

COB A6.4.5



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 FirmG which intends to use a Client'sG Safe Custody InvestmentsG for its own purpose or that of another PersonG , must have systems and controls in place to ensure that:

(a) it obtains that Client'sG prior written permission;
(b) adequate records are maintained to protect Safe Custody InvestmentsG which are applied as collateral or used for stock lending activities;
(c) the equivalent assets are returned to the Client AccountG of the ClientG ; and
(d) the ClientG is not disadvantaged by the use of his Safe Custody InvestmentsG .
Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]