Dubai Financial Services Authority

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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)

Rulebook Modules

Anti-Money Laundering, Counter-Terrorist Financing and Sanctions Module (AML) [VER16/07-19]

Authorised Market Institutions (AMI) [VER18/02-17]

Auditor Module (AUD) [VER3/02-17]

Conduct of Business Module (COB) [VER33/07-19]

Collective Investment Rules (CIR) [VER25/07-19]

Fees Module (FER) [VER20/02-19]

Fund Protocol Rules (FPR) [VER1/02-19]

General Module (GEN) [VER44/07-19]

GEN 1 Introduction

GEN 2 Financial Services

GEN 2A. Definition of Financial Product in the General Prohibition Against Misconduct

GEN 3 Financial Promotions

GEN 3 [Deleted]

GEN 4 Core Principles

GEN 4.1 Principles for Authorised Firms — application

GEN 4.2 The Principles for Authorised Firms

Principle 1 — Integrity

Principle 2 — Due skill, care and diligence

Principle 3 — Management, systems and controls

Principle 4 — Resources

Principle 5 — Market conduct

Principle 6 — Information and interests

Principle 7 — Conflicts of interest

Principle 8 — Suitability

Principle 9 — Customer assets and money

Principle 10 — Relations with regulators

Principle 11 — Compliance with high standards of corporate governance

Principle 12 — Remuneration practices

GEN 4.3 Principles for Authorised Individuals — application

GEN 4.4 The Principles for Authorised Individuals

GEN 5 Management, Systems and Controls

GEN 6 General Provisions

GEN 7 Authorisation

GEN 8 Accounting and Auditing

GEN 9 Complaints Handling and Dispute Resolution

GEN 10 Transitional Rules

GEN 11 Supervision

GEN 12 Business Transfer Schemes

GEN 13 Facilitating FinTech Innovation

GEN App1 Deposits

GEN App2 Investments

GEN App3 Best Practice Relating to Corporate Governance and Remuneration

GEN App4 Contracts of Insurance

GEN App5 Trade Repository

GEN App5 [Deleted]

GEN App6 [Deleted]

Glossary Module (GLO) [VER44/07-19]

Islamic Finance Rules (IFR) [VER13/12-18]

Markets Rules (MKT) [VER15/07-19]

Price Stabilisation Module (PRS) [VER7/04-18]

Prudential — Insurance Business Module (PIN) [VER15/01-18]

Prudential — Investment, Insurance Intermediation and Banking Module (PIB) [VER33/02-19]

Recognition (REC) [VER12/01-18]

Representative Office Module (REP) [VER10/04-18]

Takeover Rules Module (TKO) [VER7/02-16]

Sourcebook Modules

Consultation Papers

Policy Statements

DFSA Codes of Practice

Amendments to Legislation

Financial Markets Tribunal

Connected by Complinet

Location: Dubai Financial Services Authority (DFSA) > Rulebook Modules > General Module (GEN) [VER44/07-19] > GEN 4 Core Principles > GEN 4.2 The Principles for Authorised Firms > Principle 6 — Information and interests

Principle 6 — Information and interests

GEN 4.2.6

An Authorised Firm^G must pay due regard to the interests of its customers and communicate information to them in a way which is clear, fair and not misleading.

Derived from DFSA RM01/2004 (Made 16th September 2004). [VER1/09-04]