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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
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  Versions
(1 version)
 
Apr 1 2015 onwards

COB 3.3.4



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.

(1) An Authorised FirmG may, for the purposes of Rule 3.3.2(1)(a)(ii), rely on a Client AgreementG executed in accordance with the requirements in either (2) or (3).
(2) For the purposes of (1), an Authorised FirmG which is a BranchG may rely on a Client AgreementG , executed by its head office or any other branch of the same legal entity, if:
(a) the Client AgreementG adequately and clearly applies to the Financial ServicesG provided by the BranchG ; and
(b) the Authorised FirmG ensures that the Client AgreementG is available to the DFSAG on request.
(3) For the purposes of (1), an Authorised FirmG may rely on a Client AgreementG , executed by a member of its GroupG if:
(a) it is providing a Financial ServiceG pursuant to Rule 2.4.5;
(b) the Client AgreementG clearly sets out:
(i) the Financial ServiceG provided by the Authorised FirmG and;
(ii) that the Client'sG rights in respect of (i) are enforceable against the Authorised FirmG ; and
(c) the Authorised FirmG ensures that the Client AgreementG is available to the DFSAG on request.
(4) An Authorised FirmG must notify the DFSAG immediately if, for any reason, it is no longer able to provide unrestricted access to a Client AgreementG as required under (2) or (3).
[Added] DFSA RM149/2015 (Made 11th February 2015) [VER24/04-15]