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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 5.7 Recording of Selection Criteria

    • COB 5.7.1

      Where the Trust Service ProviderG seeks the advice of a third party in connection with a Client'sG affairs, for example to advise on or manage investments, the Trust Service ProviderG must record the criteria for selection of the adviser and the reasons for the selection made.

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

    • COB 5.7.2

      The Trust Service ProviderG must monitor the performance of the adviser and ensure that it is in a position to change advisers if it is in the interests of the ClientG .

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