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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
(2 versions)
 
Jul 1 2008 - Jul 31 2009Aug 1 2009 onwards

COB A6.8.1



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) An Authorised FirmG which Provides CustodyG or which holds or controls Client InvestmentsG for a ClientG must send a statement to a Retail ClientG at least every six months or in the case of a Professional ClientG at other intervals as agreed in writing with the Professional ClientG .
(2) The statement must include:
(a) a list of that Client'sG Safe Custody InvestmentsG as at the date of reporting;
(b) a list of that Client'sG CollateralG and the market value of that CollateralG as at the date of reporting; and
(c) details of any Client MoneyG held by the Authorised FirmG as at the date of reporting.
(3) The statement sent to the ClientG must be prepared within 25 business days of the statement date.
Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]
[Amended] DFSA RM66/2009 (Made 1st August 2009). [VER16/08-09]