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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
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
Notices
Financial Markets Tribunal
Archive

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  • Records of Orders and Transactions

    • COB 6.7.4

      (1) When an Authorised FirmG receives a ClientG order or in the exercise of its discretion decides upon a TransactionG , it must promptly make a record of the information set out in App1 under COB Rule A1.1.1.
      (2) When an Authorised Firm Executes a TransactionG , it must promptly make a record of the information set out in App1 under COB Rule A1.1.2.
      (3) When an Authorised FirmG passes a ClientG order to another PersonG for ExecutionG , it must promptly make a record of the information set out in AppG 1 under COB Rule A1.1.3.
      Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]

    • COB 6.7.5

      The records referred to in COB Rule 6.7.4 must be retained by an Authorised FirmG for a minimum of six years.

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