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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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  • Additional Information for Investment Business

    • COB A2.1.3

      The additional information required under COB A2.1.1(b) for Investment BusinessG is:

      (a) the arrangements for giving instructions to the Authorised FirmG and acknowledging those instructions;
      (b) information about any agreed investment parameters;
      (c) the arrangements for notifying the ClientG of any Transaction ExecutedG on his behalf;
      (d) if the Authorised FirmG may act as principal in a TransactionG , when it will do so;
      (e) the frequency of any periodic statements and whether those statements will include some measure of performance, and if so, what the basis of that measurement will be;
      (f) when the obligation to provide best execution can be and is to be waived, a statement that the Authorised FirmG does not owe a duty of best execution or the circumstances in which it does not owe such a duty; and
      (g) where applicable, the basis on which assets comprised in the portfolio are to be valued.
      Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]