Home   Browse contents   View updates   Search  
     Quick search
Go
   

Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
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
Notices
Financial Markets Tribunal
Archive

Whole SectionText only Print Print Manager Link


  Versions
(1 version)
 
Apr 1 2015 onwards

COB 2.6.3



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) For the purposes of classifying a PersonG as an 'assessed' Professional ClientG under either Rule 2.3.7 or Rule 2.3.8, the reference to $1 million in each of Rules 2.3.7(1)(a) and 2.3.8(1)(a) is to be read as a reference to $500,000 on and before 31 March 2016.
(2) An Authorised FirmG may continue to treat a PersonG as an 'assessed' Professional ClientG in reliance on the lower asset threshold specified in (1) on and after 1 April 2016 provided:
(a) it is in respect of the Financial ServicesG carried on with or for the ClientG prior to that date; and
(b) the firm continues to ensure that all the other applicable requirements in this chapter are met in respect of that ClientG .
Derived from DFSA RM149/2015 (Made 11th February 2015) [VER24/04-15]