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DFSA | THE INDEPENDENT REGULATOR OF FINANCIAL SERVICES
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      • Executive Team
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      • Amendments to Legislation
    • DFSA Rulebook
    • DFSA Administered Law
  • What we do
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      • Summary
      • Regulatory Framework
      • Supervisory Methodology
      • Overview of DFSA AML/CTF & Sanctions Obligations
      • Standard-Setters / International Organisations Followed
    • Authorisation Services
      • Overview
      • Authorised Firms
      • Authorised Individuals
      • Authorised Market Institutions
      • Registered Auditors
      • Registered DNFBPs
      • Getting Help
      • Expanding Your Business
    • Collective Investment Funds
    • DFSA Listing Authority
      • Checklists
      • Forms
      • Approved Documents
      • Disclosure Database
      • Regulatory Announcement Services
      • Official List of Securities
      • Knowledge Base
      • Delisted Securities
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      • About Enforcement
      • Regulatory Actions
    • International Relations
      • How We Regulate
      • International Assessment
    • Policy, Strategy and Risk
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      • Recognised Bodies
      • Recognised Members
    • Supervision
      • About Supervision
      • Audit Supervision
      • Cyber Risk Supervision
      • Insurance Supervision
      • Operational & Technology Risk Supervision
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      • Investment Guide
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DFSA Rulebook

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Dubai Financial Services Authority (DFSA)

  • Dubai Financial Services Authority (DFSA)
    • Laws
    • Recognised Jurisdictions and Funds
    • Declaration Notices
    • Financial Markets Tribunal
    • Archive
    • Rulebook Modules
      • Anti-Money Laundering, Counter-Terrorist Financing and Sanctions Module (AML) [VER19/04-22]
      • Authorised Market Institutions (AMI) [VER21/04-22]
      • Auditor Module (AUD) [VER05/04-22]
      • Conduct of Business Module (COB) [VER39/10-21]
        • COB 1 Introduction
        • COB 2 Client Classification
        • COB 3 Core Rules — Investment Business, Accepting Deposits, Providing Credit, Providing Trust Services, Operating a Crowdfunding Platform, Operating An Employee Money Purchase Scheme And Acting As The Administrator Of An Employee Money Purchase Scheme
          • COB 3 Guidance
          • COB 3.1 Application
          • COB 3.2 Communication of Information and Marketing Material
          • COB 3.3 Key Information and Client Agreement
          • COB 3.4 Suitability
          • COB 3.5 Conflicts of Interest
            • Fair Treatment
            • Attribution of Knowledge
              • COB 3.5.2
            • Inducements
          • COB 3.6 Record Keeping
        • COB 4 Additional Rules — Accepting Deposits and Providing Credit
        • COB 5 Additional Rules — Providing Trust Services
        • COB 6 Additional Rules — Investment Business
        • COB 7 Core Rules — Insurance
        • COB 8 Specific Rules – Operating A Credit Rating Agency
        • COB 9 Additional Rules: Operating an Alternative Trading System
        • COB 10 Custody Providers Acting as a Central Securities Depository ("CSD")
        • COB 11 Crowdfunding
        • COB 12 OPERATING OR ACTING AS THE ADMINISTRATOR OF AN EMPLOYEE MONEY PURCHASE SCHEME
        • COB 13 Providing Money Services And Arranging Or Advising On Money Services
        • COB 14 Additional Requirements for Firms Providing Financial Services Relating to Investment Tokens
        • COB App 1 Records of Orders and Transactions
        • COB App 2 Key Information and Client Agreement
        • COB App 3 Confirmation of Transactions
        • COB App 4 Periodic Statements
        • COB App 5 Client Money Provisions
        • COB App 6 Safe Custody Provisions
        • COB App 7 Providing Money Services And Arranging Or Advising On Money Services Provisions
      • Collective Investment Rules (CIR) [VER/32/10-21]
      • Fees Module (FER) [VER25/10-21]
      • Fund Protocol Rules (FPR) [VER1/02-19]
      • General Module (GEN) [VER54/04-22]
      • Glossary Module (GLO) [VER53/10-21]
      • Islamic Finance Rules (IFR) [VER18/10-21]
      • Markets Rules (MKT) [VER18/10-21]
      • Price Stabilisation Module (PRS) [VER7/04-18]
      • Prudential — Insurance Business Module (PIN) [VER17/04-21]
      • Prudential — Investment, Insurance Intermediation and Banking Module (PIB) [VER41/01-22]
      • Recovery and Resolution (RAR) [VER1/04-21]
      • Recognition (REC) [VER12/01-18]
      • Representative Office Module (REP) [VER11/09-21]
      • Takeover Rules Module (TKO) [VER08/04-20]
      • Archive
    • Sourcebook Modules
    • Consultation Papers
    • Policy Statements
    • DFSA Codes of Practice
    • Amendments to Legislation
    • Media Releases
    • Notices
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  1. Dubai Financial Services Authority (DFSA)
  2. Rulebook Modules
  3. Conduct of Business Module (COB) [VER39/10-21]
  4. COB 3 Core Rules — Investment Business, Accepting Deposits, Providing Credit, Providing Trust Services, Operating a Crowdfunding Platform, Operating An Employee Money Purchase Scheme And Acting As The Administrator Of An Employee Money Purchase Scheme
  5. COB 3.5 Conflicts of Interest
  6. Attribution of Knowledge
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‹ COB 3.5.1 COB 3.5.2 ›

Attribution of Knowledge

  • COB 3.5.2
‹ COB 3.5.1 COB 3.5.2 ›
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