This course will provide participants with a high level understanding of the QFC Regulatory Authority Conduct of Business Rules and the impact they have on their obligations and their firms.


Course Highlights

  1. Workshop sPlease contact us style training course
  2. Interactive learning environment
  3. Maximum of 20 participants per course
  4. Real-life examples used

Course Details

  1. The Principles for Business  
  2. Scope of Business  
  3. Restriction of Business    
  4. Client Categories
  5. Client Relationships    
  6. Financial Promotions
  7. The Enforcement Process

Learning Outcomes  

After attending this course, participants will be able to:

  1. Demonstrate an understnading of the application of the COB;

    2. Describe the main Principles for Business, including   

          - scope of the firm's business  

        - business restrictions

        - categories of clients  

        - financial promotions 

    3. Assess the firm's current policies and procedures relating to compliance with COB rules  

   4. Conduct business in full compliance with COB rules



Delivery Methods


Bring In-House

If you have a number of people who require training, you might find it more economical to have the training at your offices. Our trainers are armed with all the equipment and materials necessary.

All you need to do is supply the room.


In addition in-house courses can be tailored to meet the precise needs of your business. Tis could mean tailoring a course for a business unit; combining elements of different elements of different courses to match your exact specifications; or producing a course from scratch.


Please contact us at and we'll get in touch to discuss your requirements in detail.


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