DFSA Conduct of Business Rules Overview
Overview
This session will provide participants 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.
Learning Outcomes
After attending this course, participants 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
Course Details
- 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
Delivery
Have the flexibility to deliver your In-House training in-person by one of our trainers at your premises, or virtually via Zoom, Teams or Webex.
Find out more about your Virtual or In-Person training experience below.
Virtual Delivery
Our virtual training courses are designed to be every bit as engaging as our in-person courses. To achieve this, our trainers use market-leading technology and a range of training techniques to ensure high levels of interaction with participants. Courses include the use of:
- Virtual ‘break-out’ rooms: participants are divided into virtual rooms to facilitate small group discussion.
- Polling: multiple-choice questions, answered anonymously, allow the trainer to assess knowledge and understanding across the group.
- Case studies: true to life case studies and scenarios are used to highlight the practical application of theoretical knowledge.
- Messaging: participants can submit questions and comments, either to the whole group or privately to the trainer.
Additional Benefits:
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Recording: public course participants have the option to access a recording of the course for one month after the course. In-House clients also have the option to record their training for an additional fee.
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On-going Q&A: public course participants can access an ongoing Q&A facility allowing them to ask questions relating to the course.
In-Person Delivery
Our in-person training is delivered face to face at your offices, and includes:
- ‘In-the-moment’ questions & discussions: questions through conversations allow the trainer to assess knowledge and understanding across the group.
- Case studies: true to life case studies and scenarios are used to explore practical application of theoretical knowledge.
- Q&A: participants can ask questions during training, either to the whole group or privately to the trainer.