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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

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  • COB A2.1.3

    The additional information required under COB A2.1.1(b) for Investment Business is:

    (a) the arrangements for giving instructions to the Authorised Firm and acknowledging those instructions;
    (b) information about any agreed investment parameters;
    (c) the arrangements for notifying the Client of any Transaction Executed on his behalf;
    (d) if the Authorised Firm may act as principal in a Transaction, when it will do so;
    (e) the frequency of any periodic statements and whether those statements will include some measure of performance, and if so, what the basis of that measurement will be;
    (f) when the obligation to provide best execution can be and is to be waived, a statement that the Authorised Firm does not owe a duty of best execution or the circumstances in which it does not owe such a duty; and
    (g) where applicable, the basis on which assets comprised in the portfolio are to be valued.
    Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]