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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
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Conduct of Business Module (COB) [VER28/02-17]
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  Versions
(1 version)
 
Apr 1 2015 onwards

COB 2 Client Classification

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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.


Contents:
COB 2.1 Application
COB 2.1.1
Exclusions
COB 2.2 Overview
COB 2.2 Guidance
COB 2.3 Types of Clients
COB 2.3.1
Retail Clients
Professional Clients
'Deemed' Professional Clients
'Service-based' Professional Clients
'Assessed' Professional Clients
COB 2.4 Procedures relating to client classification
Option for a Professional Client to be classified as a Retail Client
Assessment of net assets
Assessment of knowledge and experience
Reliance on a classification made elsewhere
Group clients
COB 2.5 Record keeping
COB 2.5.1
COB 2.5.2
COB 2.5.3
Guidance
COB 2.6 Transitional Rules
COB 2.6.1
COB 2.6.2
COB 2.6.3