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DFSA · Compliance Series

DFSA Compliance Series

A 10-chapter, 41-episode video series breaking down the Dubai Financial Services Authority's regulatory framework — constitutional basis, licensing, AML, prudential rules, crypto, funds, ESG, cyber resilience, and enforcement — module by module, in 60-second episodes.

Chapter 1 · Constitutional Architecture & Jurisdictional Scope

Series Teaser – What is the DFSA?
Ep 01.0

Series Teaser – What is the DFSA?

Common Law in the UAE: Constitutional Carve-Out
Ep 01.1

Common Law in the UAE: Constitutional Carve-Out

The 3 Pillars of DIFC Governance
Ep 01.2

The 3 Pillars of DIFC Governance

What DFSA Firms CANNOT Do Onshore
Ep 01.3

What DFSA Firms CANNOT Do Onshore

The Source of DFSA Regulatory Power
Ep 01.4

The Source of DFSA Regulatory Power

Chapter 2 · DFSA Authorization & GEN Module Mechanics

Which DFSA License Do You Need?
Ep 02.1

Which DFSA License Do You Need?

DFSA "Mind and Management" Rules
Ep 02.2

DFSA "Mind and Management" Rules

Mandatory Authorised Person Roles
Ep 02.3

Mandatory Authorised Person Roles

The "Fit and Proper" Assessment
Ep 02.4

The "Fit and Proper" Assessment

Chapter 3 · Conduct of Business (COB) & Client Protections

Client Classification Framework
Ep 03.1

Client Classification Framework

Suitability vs. Appropriateness Assessments
Ep 03.2

Suitability vs. Appropriateness Assessments

Client Asset Protection & Segregation
Ep 03.3

Client Asset Protection & Segregation

Conflicts of Interest & Disclosures
Ep 03.4

Conflicts of Interest & Disclosures

Chapter 4 · AML, CTF, and Sanctions Compliance

AML Governance & The MLRO Role
Ep 04.1

AML Governance & The MLRO Role

Customer Due Diligence & UBO Thresholds
Ep 04.2

Customer Due Diligence & UBO Thresholds

Suspicious Transaction Reporting & Tipping-Off Rules
Ep 04.3

Suspicious Transaction Reporting & Tipping-Off Rules

Targeted Financial Sanctions & Asset Freezing
Ep 04.4

Targeted Financial Sanctions & Asset Freezing

Chapter 5 · Crypto Tokens & Digital Assets Regime

The Shift to Firm-Led Token Suitability
Ep 05.1

The Shift to Firm-Led Token Suitability

The 5 Core Criteria for Token Evaluation
Ep 05.2

The 5 Core Criteria for Token Evaluation

Unsuitable Tokens & Financial Crime Red Flags
Ep 05.3

Unsuitable Tokens & Financial Crime Red Flags

Ongoing Token Obligations & Reporting
Ep 05.4

Ongoing Token Obligations & Reporting

Chapter 6 · Capital Adequacy & Prudential Rules (PIB & PIN)

Capital Adequacy Fundamentals
Ep 06.1

Capital Adequacy Fundamentals

Operational Risk & Stress Testing
Ep 06.2

Operational Risk & Stress Testing

Liquidity Reserves & Liquid Assets
Ep 06.3

Liquidity Reserves & Liquid Assets

Prudential Returns & Deficit Reporting
Ep 06.4

Prudential Returns & Deficit Reporting

Chapter 7 · Collective Investment Schemes & Fund Management

Fund Tiers Breakdown
Ep 07.1

Fund Tiers Breakdown

Fund Governance & Oversight
Ep 07.2

Fund Governance & Oversight

Custody & Asset Segregation for Funds
Ep 07.3

Custody & Asset Segregation for Funds

Marketing Foreign Funds in the DIFC
Ep 07.4

Marketing Foreign Funds in the DIFC

Chapter 8 · Sustainable Finance & ESG Compliance

Sustainable Finance Roadmap
Ep 08.1

Sustainable Finance Roadmap

Anti-Greenwashing Mandates & Disclosures
Ep 08.2

Anti-Greenwashing Mandates & Disclosures

ESG Sukuk & Green Debt Standards
Ep 08.3

ESG Sukuk & Green Debt Standards

Board Responsibility for Climate Risk
Ep 08.4

Board Responsibility for Climate Risk

Chapter 9 · Cyber Resilience & Operational Risk

The DFSA Operational Resilience Framework
Ep 09.1

The DFSA Operational Resilience Framework

DFSA Cyber Threat Intelligence Platform (CTIP)
Ep 09.2

DFSA Cyber Threat Intelligence Platform (CTIP)

Managing Third-Party & Technology Vendor Risks
Ep 09.3

Managing Third-Party & Technology Vendor Risks

Mandatory Cyber Incident Reporting Timelines
Ep 09.4

Mandatory Cyber Incident Reporting Timelines

Chapter 10 · Regulatory Enforcement & FMT Precedents

DFSA Investigative & Enforcement Powers
Ep 10.1

DFSA Investigative & Enforcement Powers

Financial Penalties, Sanctions, and Public Censures
Ep 10.2

Financial Penalties, Sanctions, and Public Censures

The Financial Markets Tribunal (FMT) Appeals Process
Ep 10.3

The Financial Markets Tribunal (FMT) Appeals Process

Lessons from Real-World Enforcement Actions
Ep 10.4

Lessons from Real-World Enforcement Actions

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