After attending this session, attendees will be able to:

• Demonstrate an understanding of the application of the COB rules
• Describe the main Principles for Business, including:
  • the scope of the firm’s business
  • business restrictions
• categories of clients
• financial promotions
• Assess the firm’s current policies and procedures relating to compliance with the COB Rules
• Conduct business in full compliance with the DFSA COB Rules