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COB 3.5.6

Before an Authorised Firm enters into a Transaction for or on behalf of a Retail Client or Professional Client, either directly or indirectly, with or through the agency of another Person, in relation to which there is a Soft Dollar Agreement which the Authorised Firm has, or knows that another member of its Group has, with that other Person, it must disclose to its Client:

(a) the existence of a Soft Dollar Agreement; and
(b) the Authorised Firm's or its Group's policy relating to Soft Dollar Agreements.
Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]