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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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  • COB A5.2 General Requirements

    • COB A5.2.1

      (1) The provisions of this appendix are referred to as the Client Money ProvisionsG .
      (2) The types of ClientG described in COB Rule 6.12.2 are referred to in this appendix as Segregated ClientsG .
      Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]

    • COB A5.2.2

      An Authorised FirmG which holds or controls Client MoneyG for a Segregated ClientG must:

      (a) comply with the Client Money ProvisionsG in relation to that Client MoneyG ; and
      (b) have systems and controls in place to be able to evidence compliance with the Client Money ProvisionsG .
      Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]