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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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  • COB 6.14.1

    (1) An Authorised Firm must maintain records:
    (a) which enable the Authorised Firm to demonstrate compliance with COB Rule 6.11.2; and
    (b) which enable the Authorised Firm to demonstrate and explain all entries of Client Investments and Collateral held or controlled in accordance with this chapter.
    (2) Records must be kept for a minimum of six years.
    Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]