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3.1. Application
FINANCIAL SERVICES LEGISLATION
RULES
CONDUCT OF BUSINESS RULES
Guidance: Purpose of this rulebook
SCHEDULE 1: TRANSACTION RECORDS
SCHEDULE 2: KEY INFORMATION AND CONTENT OF CLIENT AGREEMENT
SCHEDULE 3: TRADE CONFIRMATION
SCHEDULE 4: PERIODIC STATEMENTS
SCHEDULE 5: FINANCIAL PROMOTIONS
Entire Act

3.1. Application

3.1.1. General requirement

COB 3 applies to:

(a)      an Authorised Firm communicating with a Client in relation to a Regulated Activity; and/or

(b)     an Authorised Firm communicating or approving a Financial Promotion.

3.1.2. Territorial scope

This chapter COB 3 applies to:

(a)      any communications of an Authorised Firm to a Client; and/or

(b)      any Financial Promotions communicated or approved by an Authorised Firm,

in relation to a Regulated Activity carried on by an Authorised Firm operating within the jurisdiction of the AIFC as specified in Part 1 of the Framework Regulations.