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LIVE, VIRTUAL WEBINAR

DFSA Compliance Arrangements - Action Points for Senior Managers & Compliance Officers

In April, the DFSA published its ‘Thematic Review on Compliance Arrangements’. Although the review focused on the fintech sector, the DFSA was clear that its conclusions are applicable to all firms:

“All Authorised Firms are encouraged to reflect on these observations and assess the adequacy of their own compliance arrangements.”

Join us for a webinar exploring the principal findings of the review, with a particular focus on practical action points for SEOs, Compliance Officers and other Senior Managers.

Date: Tuesday 13th October 2026
Time: 2:00 - 2:45 pm GST
Delivery: Virtual, Zoom
Presenters: Peter Haines & Nigel Sydenham

 

Overview

In this webinar, Peter Haines and Nigel Sydenham consider the significance of the DFSA’s Thematic Review on Compliance Arrangements, its principal findings and the key ‘lessons learnt’ for SEOs and Compliance Officers.

  • Context
    • DFSA’s increasing focus on Thematic Reviews
    • The regulator’s expectations: learning the lessons
  • What should SEOs and Compliance Officers be doing?
  • What are the characteristics of an effective risk-based Compliance programme?
  • Putting it all together: practical action points

Who should attend?

This webinar is designed for SEOs, Compliance Officers and others with responsibility for compliance within DFSA-regulated firms.

 

Why should you attend?

The Thematic Review clearly articulates the DFSA’s expectations of firms, and senior managers, regarding compliance arrangements. This webinar will provide practical action points to give SEOs and Compliance Officers confidence that their firms meet the required standards.

Speaker bios

Peter has over 35 years’ experience in the field of regulation and compliance. A chartered accountant, Peter spent 6 years working with the UK’s SFA (now the FCA) and has headed up regional and global compliance functions at Paribas, UBS Investment Bank and Bank of America.

Since 2006, Peter has specialised in training, focusing on boards, senior management and assisting the next generation of compliance officers. His coverage includes most areas of compliance and financial crime, corporate governance and risk management. His style is inclusive, interactive and based on practicalities, not just rules.

As Director of GRC Training, he works closely with our clients to ensure that our programmes are tailored to their exact needs and meet, or surpass, their expectations.

 

Nigel specialises in training boards, senior executives and other staff on the impact of regulation and regulatory change.

He is a CFA Charterholder and Chartered Fellow of the CISI, with over 15 years’ industry experience.

With a background in compliance in private banking and wealth management, Nigel has a particular interest in effective corporate governance and the management of compliance and regulatory risk. His interests also include issues relating to ESG and climate risk, conduct and culture (including non-financial misconduct), and all aspects of financial crime prevention, as well as the impact of fintech on compliance and regulation.

 

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