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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)
Apr 1 2015 onwards

COB 2.4.3 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.

Generally, an Authorised FirmG may consider a PersonG to have relevant experience and understanding where such a PersonG :

a. has been involved in similar transactions in a professional or personal capacity sufficiently frequently to give the Authorised FirmG reasonable assurance that the PersonG is able to make decisions of the relevant kind, understanding the type of risks involved; or
b. is found to be acting, in relation to the particular transaction involved, in reliance on a recommendation made by an Authorised FirmG or Regulated Financial InstitutionG .
Derived from DFSA RM149/2015 (Made 11th February 2015) [VER24/04-15]