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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 8.10.1 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.

1. Information to support a Credit RatingG includes information received from the Rating SubjectG or information obtained through publicly available sources or third parties and verification procedures adopted in relation to information such as those obtained from public sources or third parties. In accordance with GEN Rule 5.3.24, records should be kept in such a manner as to be readily accessible.
2. Where a Credit RatingG is subject to on-going surveillance and review, the Credit Rating AgencyG should retain records required under COB Rule 8.10.1 in relation to the initial Credit RatingG as well as subsequent updates where such records are required to support the latest Credit RatingG .
[Added] DFSA RM97/2012 (Made 24th July 2012) [VER20/07-12]