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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]
COB 6 Additional Rules — Investment Business
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)
Aug 16 2012 onwards

COB 6.3.4 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.

The requirements in COB Rule 6.3.4(a) and (b) apply to an Authorised FirmG in addition to other requirements in the DFSA Rulebook. For example, an Authorised FirmG is required to take reasonable steps to identify actual or potential conflicts of interest and then prevent or manage them under GEN Rule 4.2.7 (Principle 7 – Conflicts of Interest). Further, COB Rule 6.3.2 requires an Authorised FirmG to have adequate procedures and controls when it prepares or publishes Investment ResearchG .

[Added] DFSA RM97/2012 (Made 24th July 2012) [VER20/07-12]