Overview

This session will provide attendees with a high level understanding of the DFSA Conduct of Business Rules and the impact they have on their duties and their firm.

Who is this for?

The course is relevant for 'front' and 'back office' staff in DFSA regulated firms.

  • The Principles for Business, including Responsible Conduct
  • Scope of Business
  • Restrictions on business
  • Client classification and DFSA expectations
  • Client relationships including Customer Complaints Procedures
  • Financial promotions
  • Client agreements, Confirmations, Statements and Client assets
  • Marketing of Domestic and Foreign Funds
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