COB 3.1.1

This chapter applies to an Authorised Firm which carries on or intends to carry on:

(a) Investment Business;
(b) Accepting Deposits;
(c) Providing Credit;
(d) Providing Trust Services;
(e) Operating a Crowdfunding Platform;
(f) Operating an Employee Money Purchase Scheme;
(g) Acting as the Administrator of an Employee Money Purchase Scheme;
(h) Providing Money Services; or
(i) Arranging or Advising on Money Services.

except where it is expressly provided otherwise.

Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]
[Amended] DFSA RMI202/2017 (Made 14th June 2017). [VER29/08-17]
[Amended] DFSA RMI261/2019 (Made 18th December 2019). [VER35/01-20]
[Amended] DFSA RMI267/2020 (Made 26th February 2020). [VER36/04-20]