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Senior Management Regulatory Roles & Responsibilities

  • The DFSA approach and relevant Laws
  • The international focus on risk
  • Corporate Governance
  • The global regulatory environment
  • The relevant Rules and Principles for business
  • Responsibilities of "Authorised Individuals"
  • Licensed functions
  • Regulatory expectations: Principle 3
  • "Apportionment" and "Oversight"
  • Appropriate systems and controls
  • Evidential provisions
  • Risk Management

Multi-Booking Discount

Receive a 20% discount when you book four or more public course places at the same time.

Tailored to your needs

Our courses can be tailored to your firm's specific requirements and industry sector.