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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
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Conduct of Business Module (COB) [VER32/02-19]
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  Versions
(1 version)
 
Jul 14 2013 onwards

COB 9.3.3



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 ATS OperatorG must, where it permits its members to provide to another Person Direct Electronic AccessG to its facilities, have adequate systems and controls including:

(a) appropriate standards regarding risk controls and thresholds on trading through Direct Electronic AccessG ;
(b) mechanisms to identify and distinguish orders placed by those PersonsG who are allowed to place orders through Direct Electronic AccessG ; and
(c) if necessary, the ability to stop orders of, or trading by, the PersonsG allowed Direct Electronic AccessG .
[Added] DFSA RM123/2013 (Made 13th June 2013) [VER22/07-13]