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COB A3.1.1

(1) For the purposes of COB Rule 6.9.2, an Authorised Firm must include the following general information:
(a) the Authorised Firm's name and address;
(b) whether the Authorised Firm Executed the Transaction as principal or agent;
(c) the Client's name, account number or other identifier;
(d) a description of the Investment or Fund, including the amount invested or number of units involved;
(e) whether the Transaction is a sale or purchase;
(f) the price or unit price at which the Transaction was Executed;
(g) if applicable, a statement that the Transaction was Executed on an Execution-Only basis;
(h) the date and time of the Transaction;
(i) the total amount payable and the date on which it is due;
(j) the amount of the Authorised Firms charges in connection with the Transaction, including Commission charges and the amount of any Mark-up or Mark-down, Fees, taxes or duties;
(k) the amount or basis of any charges shared with another Person or statement that this will be made available on request; and
(l) for Collective Investment Funds, at statement that the price at which the Transaction has been Executed is on a Historic Price or Forward Price basis, as the case may be.
(2) An Authorised Firm may combine items (f) and (j) in respect of a Transaction where the Client has requested a note showing a single price combining both of these items.
Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]