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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
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Conduct of Business Module (COB) [VER33/07-19]
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  Versions
(1 version)
 
Apr 1 2015 onwards

COB 2.5.3



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) Without limiting the generality of the record keeping requirements applicable to an Authorised FirmG , an Authorised FirmG must, where it relies on Rule 2.4.4 and Rule 2.4.5, ensure that the DFSA has unrestricted access to all the records required for the firm to be able to demonstrate to the DFSA its compliance with the applicable requirements, including any records maintained by or at its head office or any other branch of the same legal entity, or a member of its Group.
(2) An Authorised FirmG must notify the DFSA immediately if, for any reason, it is no longer able to provide unrestricted access to records as required under (1).
Derived from DFSA RM149/2015 (Made 11th February 2015) [VER24/04-15]