Who do the DFSA Conduct Principles apply to?
The new DFSA Conduct Principles (effective 1 July 2026) extend the personal accountability regime to a wider range of individuals working in DFSA-authorised firms.
The application of the Conduct Principles depends on the nature of an individual’s role. This flowchart provides a step-by-step guide to help firms determine which Principles apply to particular employees, and identify the relevant obligations for each category.
Our range of DFSA Conduct Principles training offerings are designed to help firms embed an understanding of the Conduct Principles and include eLearning, live instructor-led training, and complimentary webinars.
Michael Sacks
Director of Digital Learning Strategy