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Academy/DFSA Compliance Series/Chapter 3
Chapter 3 · Conduct of Business (COB) & Client Protections

Conflicts of Interest & Disclosures

Episode 03.4 · DFSA Compliance Series

About this episode

How does the DFSA enforce transparency when firms recommend financial products to clients?

COB rules require firms to identify, manage, and explicitly disclose conflicts of interest, third-party inducements, and commissions. Retail clients must also receive clear, non-misleading marketing material and itemised fee disclosures upfront.

Episode 3.4 — Chapter 3: Conduct of Business (COB) & Client Protections | DFSA & DIFC Compliance Masterclass series.

Follow @arakan-forensic for the next episode as this series continues, chapter by chapter.

Educational Media. Not Legal Advice.

#DFSA #DIFC #UAECompliance #DubaiFinance #InvestorProtection #ClientMoney

Client Asset Protection & SegregationAML Governance & The MLRO Role

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