QFCRA has scheduled a series of seminars on the requirements of the Conduct of Business Rulebook (COND). The aim of these seminars is to help the firms to better understand the requirements of COND in order that the firm’s practices, policies and procedures adequately reflect the COND requirements. The seminar is directly aimed at Compliance Officers and Customer Facing Functions, although you might decide that it is more appropriate for someone else within your organisation to also attend. At this point, the QFCRA has limited the number of participants per firm to a maximum of 2. Subject to space availability and restrictions, we may be able to accommodate more participants.

QFCRA Seminar on the Conduct of Business Rulebook 1st session

• Categories of Clients and Client Classification
• Persons acting for authorised firms & Responsibility of the authorised firm

• Conflicts of Interest & Inducements

• Financial Promotions

• Customer Complaints

QFCRA Seminar on the Conduct of Business Rulebook 2nd & 3rd sessions

2nd Session: Monday, 2nd November 2009

3rd Session: TBD

• Conduct of Investment Business – Go through the whole process viz. Initial Client Contact, Disclosure requirements, Terms of Business, KYC, Suitability, etc

• Packaged Products – additional requirements

• Cancellations