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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

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(1 version)
Apr 1 2015 onwards


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. See GEN Rules for the requirements relating to record keeping. These Rules require, among other things, that Authorised FirmsG be able to produce records, however kept, within a reasonable period not exceeding three business days.
2. If an Authorised FirmG is aware of any restrictions that prevent it from being able to produce relevant records relating to a client classification referred to in Rule 2.5.3(1), that firm would need to undertake its own client classifications.
Derived from DFSA RM149/2015 (Made 11th February 2015) [VER24/04-15]