Entire Section

  • Principle 7 — Conflicts of interest

    • GEN 4.2.7

      An Authorised Firm must take all reasonable steps to ensure that conflicts of interest between itself and its customers, between its Employees and customers and between one customer and another are identified and then prevented or managed, or disclosed, in such a way that the interests of a customer are not adversely affected.

      Derived from DFSA RM01/2004 (Made 16th September 2004). [VER1/09-04]
      [Amended] DFSA RM95/2012 (Made 14th June 2012). [VER29/06-12]