UAE – DIFC – ADGM – Cross-border Activities

UAE – DIFC – ADGM – Cross-border Activities

Webinar in English

The training aims to present UAE, DIFC and ADGM cross-border rules governing financial promotion and advertising relating to banking and investment services, negotiation of financial services agreements, provision of banking and investment services, cooperation with third parties, etc.

Recognised for the SAQ recertification

The training is addressed to

Institution

☒ Banks
☒ Securities firms
☒ Asset managers
☐ Trustees
☐ Managers of collective assets
☐ Fund management companies
☒ Client advisors
☒ Other financial intermediaries

Function

☒ Legal and Compliance
☒ Risk management
☐ Internal audit
☐ Central file
☒ Front
☒ Asset Management
☐ HR
☒ Marketing
☒ BoD
☐ Other

Content

General introduction: 3 different jurisdictions

Regulatory framework governing

• Banking services
• Investment services (EO, Advisory, Discretionary)

Prospecting Phase

• Onboarding new clients

Negotiation Phase

• Account opening
• Advisory and Discretionary asset management agreements
• Debit and Credit cards, Lombard loans and e-Banking

Provision of Services (EO, Advisory, Discretionary)

Distribution / Placement of Financial Products

Cooperation with Third Parties

• Finders
• Business introducers
• EAMs

Reporting Activities

Conclusion

Case Studies (signature BRP)

For more information on this webinar, please contact us.