DFSA SEO & Compliance CPD Programme 2022
Overview
The DFSA require all Senior Executive Officers, Compliance Officers and MLROs of Authorised Firms to undergo a minimum of 15 hours of mandatory training every 12 months to meet their Continuing Professional Development (CPD) requirements.
The DFSA SEO & Compliance CPD Programmeprogramme has been designed for Authorised Individuals of DFSA-regulated firms, covering key regulatory topics. The programme consists of 12 1-hour video tutorials and 4 eLearning modules, totalling 15 CPD hours.
Each video tutorial is recorded live approximately once a month. Once recorded they are made available to participants on an 'on-demand' basis through our dedicated CPD learning portal.
Participants have the flexibility of attending sessions 'live' as they take place or at a later date. In addition to the video tutorials, participants are given access to four GRC eLearning modules, each lasting approximately 45 minutes.
For further details of this requirement, read our Regulatory Focus: Dubai Financial Services Authority (DFSA) CPD Requirements
Who is this for?
This CPD Programme is suitable for Senior Management, Senior Compliance staff and MLROs of DFSA-regulated firms.
Course Details
- Conduct Risk and Treating Customers Fairly Update
- DFSA Suitability Rules
- Responsibilities of the SEO, Compliance Officer and MLRO
- ESG: A Practical Guide
- Cybercrime and Financial Crime Update
- The Importance of Whistleblowing
- Sanctions Compliance
- Anti-Bribery and Corruption Update
- Ethics in Business
- How to Handle a Conflict of Interest
- Financial Promotions
- Corporate Governance Update
eLearning
Any four of the following eLearning modules. 45-minute duration per module
- AML Awareness for DFSA Regulated Firms
- Red Flag Series - AML
- Anti-Bribery & Corruption Awareness
- Cybercrime Awareness
- Conflicts of Interest
- Data Protection - DIFC
- Ethics in Business
- Fraud Prevention
- Information Security
- Market Abuse
- Sanctions
- Whistleblowing
Upcoming Live Sessions
-
Anti-Bribery and Corruption Update
16 Aug 2022 (11:00 - 12:00) -
Ethics in Business
13 Sep 2022 (11:00 - 12:00) -
How to Handle a Conflict of Interest
11 Oct 2022 (11:00 - 12:00) -
Financial Promotions
08 Nov 2022 (11:00 - 12:00) -
Corporate Governance Update
13 Dec 2022 (11:00 - 12:00)
Recorded Sessions
-
Conduct Risk and Treating Customers Fairly Update
18 Jan 2022 (11:00 - 12:00) -
DFSA Suitability Rules
08 Feb 2022 (11:00 - 12:00) -
Responsibilities of the SEO, Compliance Officer and MLRO
08 Mar 2022 (11:00 - 12:00) -
ESG: A Practical Guide
12 Apr 2022 (11:00 - 12:00) -
Cybercrime and Financial Crime Update
10 May 2022 (11:00 - 12:00) -
The Importance of Whistleblowing
14 Jun 2022 (11:00 - 12:00) -
Sanctions Compliance
12 Jul 2022 (11:00 - 12:00)
Delivery
The programme consists of 12 x 1-hour virtual training courses that are delivered live, and 4 x 45-minute eLearning modules, totalling 15 CPD hours.
Participants have the flexibility to join the virtual sessions live as they take place, or watch the recordings at a later date through our dedicated CPD learning portal.
Attendees will also have the option of requesting a CPD certificate upon completion.
Firms with more than 5 staff to train have the flexibility to deliver this CPD Programme training in-person by one of our trainers at your premises, or virtually via Zoom, Teams or Webex.
Find out more about your Virtual or In-Person training experience below.
Virtual Delivery
Our virtual training courses are designed to be every bit as engaging as our in-person courses. To achieve this, our trainers use market-leading technology and a range of training techniques to ensure high levels of interaction with participants. Each live video tutorial includes the use of:
- Virtual ‘break-out’ rooms: participants are divided into virtual rooms to facilitate small group discussion.
- Polling: multiple-choice questions, answered anonymously, allow the trainer to assess knowledge and understanding across the group.
- Case studies: true to life case studies and scenarios are used to explore practical application of theoretical knowledge.
- Messaging: participants can submit questions, either to the whole group or privately to the trainer.
Additional Benefits:
- Recording: in addition to the live event, a recording of the public course will be available to the participant for one month.
- On-going Q&A: participants can access an ongoing Q&A facility allowing them to ask questions relating to the course.
In-Person Delivery
Our in-person training is delivered face to face at your offices, and includes:
- ‘In-the-moment’ questions & discussions: questions through conversations allow the trainer to assess knowledge and understanding across the group.
- Case studies: true to life case studies and scenarios are used to explore practical application of theoretical knowledge.
- Q&A: participants can ask questions during training, either to the whole group or privately to the trainer.