Supporting Firms Through Regulatory Change With a 360 Training Approach

New regulatory initiatives like the DFSA’s Conduct Principles present both risk and opportunity for financial services firms.

We partner with firms across the Middle East to deliver timely, practical and engaging training solutions that support the successful implementation of regulatory change.

Across financial services, regulators continue to introduce conduct and consumer-focused initiatives that require firms to act quickly and consistently.

When new regulatory frameworks are introduced — such as the DFSA’s recent Conduct Principles — they demand not just awareness, but real embedding into day-to-day decision-making and culture.

This is particularly challenging for small to mid-sized firms where compliance teams are lean and timelines are tight.

Common challenges our clients face include:

• Translating regulatory requirements into practical, role-specific expectations
• Training the entire business within regulatory deadlines
• Ensuring Senior Management and Boards understand their responsibilities
• Evidencing embedding

Many firms also struggle to find a single training partner who can deliver consistent, high-quality training across multiple audiences and delivery methods, while staying ahead of regulatory guidance.

A Proactive, Role-Specific, Whole-Business Training Response

Clients facing these challenges work with CCL because we are “ahead of the curve” when new regulatory initiatives are introduced.

“CCL Academy was one of the few companies ahead of the curve with the [initiative] expertise and training solutions already in place.” - Conduct Risk Manager.

Our training supports firms at every level of the organisation, offering a 360 approach to compliance learning.

For initiatives such as Conduct Principles, this includes:

• Introductory awareness training for staff
• Role-specific training for Authorised Individuals and those to whom the Principles apply
• Senior Management and Board briefings
• Practical, scenario-based learning aligned to real business activity

“Immediately, we clicked with CCL Academy; its learning solutions and service fitted our needs, and it has a very flexible approach which was critical for us.” - Conduct Risk Manager.

To meet different learning needs and operational constraints, clients benefit from a wide range of delivery options, including:

• eLearning modules
• Live in-house training tailored to the firm’s business model
• Public courses for smaller teams or individual learners
• Webinars providing timely updates and regulatory insight

This flexibility allows firms to roll out training proportionately, while ensuring consistent messaging across the business.

“[The firm] likes to work with CCL Academy because of its flexibility and the people [at CCL] have been so helpful and accommodating.” – Conduct Risk Manager

Clients value hands-on support from real people, with responsive and knowledgeable guidance throughout implementation.

Our training programmes are tailored to each firm’s size, structure and regulatory exposure.

"Peter and colleagues from CCL Academy are not only great trainers, they are also seasoned Compliance/FCC professionals who have been there, done that. I would recommend their courses." - Senior Vice President

What consistently differentiates CCL is the quality and credibility of our trainers. Our subject matter experts combine deep regulatory knowledge with strong training experience, delivering sessions that are:

• Practical and engaging
• Relevant to the learner’s role and industry
• Grounded in real-world examples and case studies
• Focused on how regulation applies in practice, not just in theory

This approach helps learners understand not only what the rules require, but why they matter and how they apply to everyday decisions.

Through this structured, whole-business approach, firms can respond confidently to regulatory change.

Typical outcomes include:

• Clear understanding of new regulatory requirements across the business
• Training programmes tailored to the firm’s size, risk profile and activities
• Strong evidence of training completion and embedding
• Reduced pressure on compliance teams during regulatory deadlines
• Improved Senior Management engagement and ownership
• Consistently positive feedback from staff, boards and regulators
  
  

“I have received terrific feedback from employees. The entire process has been impeccable, from roll-out and implementation through to reporting.” - Head of Compliance.

Clients frequently tell us they value working with a training partner who is proactive, knowledgeable and easy to work with — and who keeps them informed as regulatory expectations continue to evolve.

Regulatory change doesn’t need to be disruptive. With the right training partner, it can be managed confidently and proportionately.

Get in touch to find out how we can help your firm build a robust training programme that's aligned with the DFSA’s Conduct Principles.

Note: This is an illustrative example based on common client experiences across multiple jurisdictions and regulatory regimes.