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DFSA Conduct of Business Rules Overview

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

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Next Public course: 14 Oct 2010

On-site training in your office

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