Entire Section

  • COB 3.1 COB 3.1 Application

    • COB 3.1.1

      This chapter applies to an Authorised Firm which carries on or intends to carry on:

      (a) Investment Business;
      (b) Accepting Deposits;
      (c) Providing Credit;
      (d) Providing Trust Services;
      (e) Operating a Crowdfunding Platform;
      (f) Operating an Employee Money Purchase Scheme;
      (g) Acting as the Administrator of an Employee Money Purchase Scheme;
      (h) Providing Money Services; or
      (i) Arranging or Advising on Money Services.

      except where it is expressly provided otherwise.

      Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]
      [Amended] DFSA RMI202/2017 (Made 14th June 2017). [VER29/08-17]
      [Amended] DFSA RMI261/2019 (Made 18th December 2019). [VER35/01-20]
      [Amended] DFSA RMI267/2020 (Made 26th February 2020). [VER36/04-20]