Entire Section

  • General Information

    • COB A3.1.1

      (1) For the purposes of COB Rule 6.9.2, an Authorised Firm must include the following general information:
      (a) the Authorised Firm's name and address;
      (b) whether the Authorised Firm Executed the Transaction as principal or agent;
      (c) the Client's name, account number or other identifier;
      (d) a description of the Investment or Fund, including the amount invested or number of units involved;
      (e) whether the Transaction is a sale or purchase;
      (f) the price or unit price at which the Transaction was Executed;
      (g) if applicable, a statement that the Transaction was Executed on an Execution-Only basis;
      (h) the date and time of the Transaction;
      (i) the total amount payable and the date on which it is due;
      (j) the amount of the Authorised Firms charges in connection with the Transaction, including Commission charges and the amount of any Mark-up or Mark-down, Fees, taxes or duties;
      (k) the amount or basis of any charges shared with another Person or statement that this will be made available on request; and
      (l) for Collective Investment Funds, at statement that the price at which the Transaction has been Executed is on a Historic Price or Forward Price basis, as the case may be.
      (2) An Authorised Firm may combine items (f) and (j) in respect of a Transaction where the Client has requested a note showing a single price combining both of these items.
      Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]