Dubai Financial Services Authority

Conduct Supervisory Pulse: Personal Account Dealing

DFSA's first Conduct Supervisory Pulse examined Personal Account Dealing practices at DIFC brokerage firms, flagging over-reliance on employee self-declarations and insufficient post-trade monitoring; firms should self-assess PAD arrangements against the six evaluation areas identified. Precedes further pulses on best execution and record-keeping.

What firms should do

Yes — self-assess Personal Account Dealing policies against DFSA's six evaluation areas

Regulator: Dubai Financial Services Authority
Type: Guidance
Status: Final/In Force
Published: 29 Jun 2026
Topic: Conduct of Business
Impact: Medium

Read it on the regulator's website

Found automatically on the regulator's website and summarised by AI by Arakan Lexara. Not legal advice; check the official source before relying on it.

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Conduct Supervisory Pulse: Personal Account Dealing

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