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Dubai Financial Services Authority (DFSA): Contents

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Apr 1 2015 onwards

COB 2.4.4

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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 is a BranchG or is a member of a GroupG .
(2) An Authorised FirmG may, subject to (3), rely on a client classification made, if it is a BranchG , by its head office or any other branch of the same legal entity, or if it is a member of a GroupG , by any other member of its GroupG , if it has reasonable grounds to believe that such a client classification is substantially similar to the client classification required under this chapter.
(3) If any gaps are identified between the requirements applicable to the Authorised FirmG under this chapter and the requirements under which the client classification is carried out by another entity referred to in (2), the Authorised FirmG may only rely on such a client classification if it has effectively addressed the identified gaps.
Derived from DFSA RM149/2015 (Made 11th February 2015) [VER24/04-15]