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ADGM LEGAL FRAMEWORK

  • ABU DHABI GLOBAL MARKET
    • FEDERAL LAW NO (8) OF 2004
    • FEDERAL DECREE NO (15) OF 2013
    • CABINET RESOLUTION NO (4) OF 2013
    • CABINET RESOLUTION NO. 28 OF 2007
    • ABU DHABI LAW NO. (4) OF 2013
    • ABU DHABI LAW NO. (12) OF 2020
    • ADGM LEGAL FRAMEWORK
      • COMMERCIAL LEGISLATION
      • FSRA LEGISLATION
        • Regulations
        • Rules
          • Anti-Money Laundering and Sanctions Rules and Guidance (AML) [VER06.310321]
          • Captive Insurance Business Rules (CIB) [VER04.030220]
          • Conduct of Business Rulebook (COBS) [VER11.080222]
            • COBS 1. INTRODUCTION
            • COBS 2. CLIENT CLASSIFICATION
            • COBS 3. CORE RULES — INVESTMENT BUSINESS, ACCEPTING DEPOSITS, PROVIDING CREDIT AND PROVIDING TRUST SERVICES
            • COBS 4. ADDITIONAL RULES — ACCEPTING DEPOSITS AND PROVIDING CREDIT
            • COBS 5. ADDITIONAL RULES — PROVIDING TRUST SERVICES
              • COBS 5.1 Application
              • COBS 5.2 General
              • COBS 5.3 Exercise of Discretion
              • COBS 5.4 Delegation of Duties or Powers
              • COBS 5.5 Reviews
              • COBS 5.6 Professional Indemnity Insurance Cover
              • COBS 5.7 Dual Control
              • COBS 5.8 Internal Reporting
              • COBS 5.9 Recording of Selection Criteria
                • COBS 5.9.1
                • COBS 5.9.2
              • COBS 5.10 Qualification and Experience of Trust Service Provider Staff
              • COBS 5.11 Books and Records
              • COBS 5.12 Due Diligence
              • COBS 5.13 Fitness and Propriety of Persons Acting as Trustees
            • COBS 6. ADDITIONAL RULES — INVESTMENT BUSINESS
            • COBS 7 CORE RULES — INSURANCE
            • COBS 8. ADDITIONAL RULES: OPERATING AN MTF OR OTF
            • COBS 9. CORE RULES — OPERATING A CREDIT RATING AGENCY
            • COBS 10. CORE RULES — OPERATING A CENTRAL SECURITIES DEPOSITORY
            • COBS 11. RECORDS OF ORDERS AND TRANSACTIONS
            • COBS 12. KEY INFORMATION AND CLIENT AGREEMENT
            • COBS 13. PERIODIC STATEMENTS
            • COBS 14. CLIENT MONEY AND RELEVANT MONEY PROVISIONS
            • COBS 15. SAFE CUSTODY PROVISIONS
            • COBS 16. RECOVERY AND RESOLUTION PLANNING FOR CLIENT MONEY, RELEVANT MONEY AND SAFE CUSTODY ASSETS
            • COBS 17. ADDITIONAL RULES — AUTHORISED PERSONS CONDUCTING A REGULATED ACTIVITY IN RELATION TO VIRTUAL ASSETS
            • COBS 18. OPERATING A PRIVATE FINANCING PLATFORM
            • COBS 19. PAYMENT SERVICES
            • COBS 20. THIRD PARTY PROVIDERS
          • Fees Rules (FEES) [VER13.270422]
          • Fund Passporting Rules (FP) [VER01.110319]
          • Fund Rules (FUNDS) [VER06.250521]
          • General Rulebook (GEN) [VER05.030220]
          • Glossary (GLO) [VER13.270422]
          • Islamic Finance Rules (IFR) [VER04.030220]
          • Market Infrastructure Rulebook (MIR) [VER05.240220]
          • Market Rules (MKT) [VER04.080222]
          • Prudential — Insurance Business (PIN) [VER04.270422]
          • Prudential — Investment, Insurance Intermediation and Banking Rules (PRU) [VER11.270422]
          • Rules of Market Conduct [VER02.210218]
          • Past Versions
        • Waivers and Modifications
      • ADGM COURTS LEGISLATION
      • ARBITRATION LEGISLATION
    • ADGM COURTS PROCEDURES
    • GUIDANCE & POLICY STATEMENTS
    • PUBLIC CONSULTATION PAPERS
    • NOTICES OF PUBLICATION
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  1. ABU DHABI GLOBAL MARKET
  2. ADGM LEGAL FRAMEWORK
  3. FSRA LEGISLATION
  4. Rules
  5. Conduct of Business Rulebook (COBS) [VER11.080222]
  6. COBS 5. ADDITIONAL RULES — PROVIDING TRUST SERVICES
  7. COBS 5.9 Recording of Selection Criteria
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  Versions

 
  • Oct 21 2015 - Oct 20 2015
  • Oct 21 2015 - Oct 20 2015
  • Oct 21 2015
‹ COBS 5.8 Internal Reporting COBS 5.9.1 ›

COBS 5.9 Recording of Selection Criteria

  • COBS 5.9.1
  • COBS 5.9.2
‹ COBS 5.8 Internal Reporting COBS 5.9.1 ›
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