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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 A5.4.2

    (1) An Authorised Firm must maintain a master list of all Client Accounts.
    (2) The master list must detail:
    (a) the name of the account;
    (b) the account number;
    (c) the location of the account;
    (d) whether the account is currently open or closed; and
    (e) the date of opening or closure.
    (3) The details of the master list must be documented and maintained for at least six years following the closure of an account.
    Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]