COB 3.3.1

Past version: effective from 03/01/2010 - 10/07/2010
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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) carrying on an activity of the kind described in GEN Rule 2.26.1 that constitutes marketing; 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]
[Amended] DFSA RM68/2009 (Made 3rd January 2010). [VER17/01-10]