DFSA Conduct Principles: For Authorised Individuals
Overview
The DFSA’s Conduct Principles apply to most employees of DFSA-regulated firms from 1 July 2026, and firms need to ensure that staff understand the Principles and how they apply in their day-to-day role.
This highly interactive course provides a comprehensive introduction to the Principles and their application, and is tailored to the needs of both Authorised Individuals and Relevant Employees. The course includes multiple real-life case studies to illustrate how the Principles are applied in practice.
Who is this for?
This interactive workshop is designed for Authorised Individuals (e.g. the SEO, Senior Managers, Compliance Officer and MLRO). A version for Relevant Employees (most other staff in the firm) is also available.
Learning Outcomes
After attending, Authorised Individuals will be able to:
- Explain the background to the Conduct Principles
- Describe their role within the appropriate Conduct Principles
- Apply the Principles to their role within the firm
Course Details
This workshop is specifically designed to explore how the Conduct Principles impact senior staff who are deemed Authorised Individuals by the DFSA.
- The background to the Conduct Principles
- DFSA’s two categories of staff to whom the Principles apply
- The two tiers of Conduct Principles
- The four Conduct Principles applying to all staff
- The three Conduct Principles applying to Authorised Individuals
- Authorised Individuals’ responsibilities under the Conduct Principles
- Case studies to illustrate the application of the Principles
- Firms’ responsibilities for assessing fitness and propriety of Authorised Individuals
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.