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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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(1 version)
 
Apr 1 2015 onwards

COB 2.4.5

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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.

To view past versions of this module in PDF format, please visit the Archive.

(1) This Rule applies to an Authorised FirmG which:
(a) is a member of a GroupG ; and
(b) provides to a ClientG one or more Financial ServicesG where the services provided by the firm form part of a bundle of financial services provided to that Client by it and its GroupG members.
(2) An Authorised FirmG referred to in (1) must ensure that:
(a) the client classification it adopts for any Financial ServiceG which it provides to the ClientG is both consistent with the requirements in this chapter and appropriate for the overall bundle of financial services provided to that ClientG ;
(b) the ClientG has a clear understanding of the arrangement under which Financial ServicesG are provided to the ClientG by the Authorised FirmG in conjunction with the other members of the GroupG ; and
(c) any risks arising from the arrangements referred to in (b) are identified and appropriately and effectively addressed.
Derived from DFSA RM149/2015 (Made 11th February 2015) [VER24/04-15]