Senior Management Regulatory Roles & Responsibilities
This course is intended to provide an overview of the key issues with regard to Corporate Governance, organisational structure, corporate ethics and DFSA requirements which will not only ensure your firm can meet regulatory expectations, but will also reduce your enterprise risk.
The development of an effective Corporate Governance framework and the implementation of an effective organisational structure adds real value to the firm over and above meeting regulatory obligations.
Who is this for?
This course is suitable for those with responsibility for managing or monitoring business risks and controls. These specifically include Directors and Senior Managers.
After attending this session, participants will have a clear understanding of:
- The international focus on Corporate Governance
- The regulatory expectations on Directors and Management
- How to "Benchmark" the firm's current arrangements against regulatory requirements and best practice
- The expectations of the Regulator on the duties & responsibilities of Senior Management
- How to implement a robust organisational structure
- What are the essential elements of an effective Corporate Governance Framework?
- The DFSA’s requirements on Corporate Governance
- What are the regulatory expectations and concerns with regards to employee remuneration?
- Should Firms be concerned with Ethics in their business?
Have the flexibility to deliver your In-House 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.
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. Courses include 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 highlight the practical application of theoretical knowledge.
- Messaging: participants can submit questions and comments, either to the whole group or privately to the trainer.
Recording: public course participants have the option to access a recording of the course for one month after the course. In-House clients also have the option to record their training for an additional fee.
On-going Q&A: public course participants can access an ongoing Q&A facility allowing them to ask questions relating to the course.
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.