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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)
Aug 16 2012 onwards

COB 8.9.1

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.

A Credit Rating AgencyG must have policies, procedures and controls to ensure that it and its EmployeesG do not:

(a) use any information given to or obtained by the Credit Rating AgencyG on a confidential basis ("Confidential Information") for a purpose other than that for which it was given or obtained;
(b) disclose the Confidential InformationG to any other PersonG , except:
(i) in accordance with (a);
(ii) with the prior written consent of the PersonG to whom a duty of confidentiality in respect of such Confidential InformationG is owed; or
(iii) where obliged to do so by any legislation applicable to the Credit Rating AgencyG ; and
(c) disclose any pending Rating ActionG except to the Rating SubjectG or as agreed with the Rating SubjectG .
[Added] DFSA RM97/2012 (Made 24th July 2012) [VER20/07-12]