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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 A6.9.1



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.

An Authorised FirmG must:

(a) at least every 25 business days, reconcile its records of Client AccountsG held with Third Party AgentsG with monthly statements received from those Third Party AgentsG ;
(b) at least every six months, count all Safe Custody InvestmentsG physically held by the Authorised FirmG , or its Nominee CompanyG , and reconcile the result of that count to the records of the Authorised FirmG ; and
(c) at least every six months, reconcile individual ClientG ledger balances with the Authorised Firm'sG records of Safe Custody InvestmentG balances held in Client AccountsG .
Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]
[Amended] DFSA RM66/2009 (Made 1st August 2009). [VER16/08-09]