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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
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  • COB 6.14 Record Keeping

    • COB 6.14.1

      (1) An Authorised FirmG must maintain records:
      (a) which enable the Authorised FirmG to demonstrate compliance with COB Rule 6.11.2; and
      (b) which enable the Authorised FirmG to demonstrate and explain all entries of Client InvestmentsG and CollateralG held or controlled in accordance with this chapter.
      (2) Records must be kept for a minimum of six years.
      Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]