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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
Recognised Jurisdictions and Funds
Declaration Notices
Financial Markets Tribunal
Archive
Rulebook Modules
Conduct of Business Module (COB) [VER34/01-20]
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Notices

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  • COB A5.6.2 Guidance

    When assessing the suitability of a Third Party Agent, an Authorised Firm should have regard to:

    a. its credit rating;
    b. its capital and financial resources in relation to the amount of Client Money held;
    c. the insolvency regime of the jurisdiction in which it is located;
    d. its regulatory status and history;
    e. its Group structure; and
    f. its use of agents and service providers.
    Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]