When communicating information to a
Personin relation to a financial product or financial service, an Authorised Firmmust take reasonable steps to ensure that the communication is clear, fair and not misleading.Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]
Authorised Firmmust not, in any form of communication with a Person, including an agreement, attempt to limit or avoid any duty or liability it may have to that Personor any other Personunder legislation administered by the DFSA.
Where a Rule in COB requires information to be sent to a
Client, the Authorised Firmmust provide that information directly to the Clientand not to another Person, unless it is on the written instructions of the Client.Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]
In Rule 3.2.2, a communication would include a financial promotion, a client agreement, terms of business, financial product terms and conditions, a mandate, power of attorney entered into for the purposes of a financial service or product and any other communication which relates in whole or in part to the provision of a financial service or product.Derived from DFSA RM154/2015 (Made 9th December 2015) [VER25/02-16]