DFSA SEO & Compliance CPD Programme 2023
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
- AML Update
- DFSA’s Expectations in Outsourcing and Operational Resilience
- ESG Update
- DFSA Enforcement Actions and Lessons Learnt
- Fraud and Cybercrime Update
- DFSA’s Clients’ Assets Rules
- Horizon Scanning and the DFSA’s Conduct Agenda
- Firm Disclosures and Financial Promotions
- Regulatory Relations and MLRO CPD Requirements
- Fintech Update
- Sanctions and ABC Update
- Corporate Governance Update/Board Responsibility for Compliance
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
-
Fintech Update
10 Oct 2023 (11:00 - 12:00) -
Sanction and ABC Update
14 Nov 2023 (11:00 - 12:00) -
Corporate Governance Update/Board Responsibility for Compliance
12 Dec 2023 (11:00 - 12:00)
Recorded Sessions
-
AML Update
09 Jan 2023 (11:00 - 12:00) -
DFSA’s Expectations in Outsourcing and Operational Resilience
14 Feb 2023 (11:00 - 12:00) -
ESG Update
14 Mar 2023 (11:00 - 12:00) -
DFSA Enforcement Actions and Lessons Learnt
11 Apr 2023 (11:00 - 12:00) -
Fraud and Cybercrime Update
09 May 2023 (11:00 - 12:00) -
DFSA’s Clients’ Assets Rules
13 Jun 2023 (11:00 - 12:00) -
Horizon Scanning and the DFSA’s Conduct Agenda (incl. complaints handling)
11 Jul 2023 (11:00 - 12:00) -
Firm Disclosures and Financial Promotions
08 Aug 2023 (11:00 - 12:00) -
Regulatory Relations and MLRO CPD Requirements
12 Sep 2023 (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.
