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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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  • Marketing Material

    • COB 3.2.4

      (1) An Authorised FirmG must ensure that any marketing material communicated to a PersonG contains the following information:
      (a) the name of the Authorised FirmG communicating the marketing material or, on whose behalf the marketing material is being communicated;
      (b) the Authorised Firm'sG regulatory status as required under GEN section 6.4; and
      (c) if the marketing material is intended only for Professional ClientsG or Market CounterpartiesG , a clear statement to that effect and that no other PersonG should act upon it.
      (2) In (1), marketing material includes any invitation or inducement to enter into an agreement:
      (a) in relation to a financial product or to engage in a Financial ServiceG with the Authorised FirmG ; or
      (b) in relation to a financial product or financial service offered by a PersonG other than the Authorised FirmG .
      (3) An Authorised FirmG which communicates marketing material in (2)(b) must:
      (a) ensure that the marketing material complies with the applicable Rules and any legislation administered by the DFSA; and
      (b) not distribute such marketing material if it becomes aware that the PersonG offering the financial product or financial service to which the material relates is in breach of the regulatory requirements that apply to that PersonG in relation to that product or service.
      Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]
      [Amended] DSFA RM185/2016 (Made 7th December 2016). [VER28/02-17]

    • COB 3.2.5

      An Authorised FirmG must take reasonable steps to ensure that:

      (a) any marketing material intended for Professional ClientsG is not sent or directed to any PersonsG who are not Professional ClientsG ; and
      (b) no PersonG communicates or otherwise uses the marketing material on behalf of the Authorised FirmG in a manner that amounts to a breach of the requirements in this section.
      Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]