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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
Rulebook Modules
Conduct of Business Module (COB) [VER33/07-19]
Sourcebook Modules
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Financial Markets Tribunal
Archive

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  Versions
(1 version)
 
Jul 14 2013 onwards

COB 9.3.4



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 establish and maintain adequate and effective systems and controls, including policies and procedures, to ensure that its members and other PersonsG to whom access to its facility is provided through members comply with its Operational RulesG and where any gaps or deficiencies are identified, they are promptly addressed.

[Added] DFSA RM123/2013 (Made 13th June 2013) [VER22/07-13]