DFSA Publishes Client Classification Regime Q&As
DFSA Publishes Client Classification Regime Q&As
Questions and Answers – The Client Classification Regime Status of this document These questions and answers are designed to assist Authorised Firms (“Firms”) to apply the client classification regime in chapter 2 of the Conduct of Business (COB) module of the DFSA Rulebook. They do not constitute legal advice and should not be acted upon as such. If there is any inconsistency between any statement in this document and the relevant Rules or associated Guidance, the Rules and Guidance prevail. Firms should, where they consider necessary, obtain their own legal advice in relation to their specific situations. This document does not cover each and every aspect of the Rules in COB chapter 2. It addresses issues where we feel clarification may be helpful. This document is a living document – as we become aware of new or changing issues, we will amend the document as appropriate.