COB 3.3.1

Past version: effective from 01/07/2008 - 02/01/2010
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The Rules in this section do not apply to an Authorised Firm when it is:

(a) carrying on a Financial Service with or for a Market Counterparty;
(b) Accepting Deposits;
(c) Providing Credit;
(d) making a referral or giving generic advice in the circumstances referred to in COB Rule 2.3.1(2)(b); or
(e) an Operator of a Fund Offering the Units of a Fund it operates.
Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]