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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]
COB 1 Introduction
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Financial Markets Tribunal

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  • COB 1 Introduction

    • COB 1.1 Application

      • COB 1.1.1

        This module (COB) applies to every Authorised FirmG with respect to the carrying on, in or from the DIFC, of any:

        (a) Financial ServiceG ; or
        (b) activity which is carried on, or held out as being carried on, in connection with or for the purposes of such a Financial ServiceG ;

        except to the extent that a provision of COB provides for a narrower application.

        Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]

        • COB 1.1.1 Guidance

          An Authorised FirmG may be able to rely on the Transitional Rules in section 2.6 for the purposes of meeting the client classification requirements in chapter 2.

          [Added] DFSA RM58/2008 (Made 1st July 2008). [VER14/07-08]
          [Amended] DFSA RM149/2015 (Made 11th February 2015) [VER24/04-15]
          [Amended] DSFA RM185/2016 (Made 7th December 2016). [VER28/02-17]

      • COB 1.1.2

        COB does not apply to a Representative OfficeG .

        Derived from DFSA RM68/2009 (Made 3rd January 2010). [VER17/01-10]