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DFSA Regulatory Compliance CPD Programme
- Χρηματοοικ. Ασφαλιστικά Τραπεζικά - Νομοθεσία, Νομική & Δικηγόροι - Πιστοποιήσεις/ Προσόντα/ Άδειες
Αγγλικά
15.00 ώρες
(
3 μέρες
)
ΠΕΡΙΓΡΑΦΗ
Financial services rules and regulations apply to all firms regulated by the DFSA. These rules and guidelines are intended to safeguard customers when they transact with an authorized firm and purchase a financial good or service, to stop the potential threats to financial stability from materializing and hurting the real economy, and to protect the integrity of the financial markets.
Prudential and conduct of business, anti-money laundering and countering the financing of terrorism legislations are all part of the DFSA financial services regulations.
To fulfil their Continuing Professional Development (CPD) obligations, the DFSA mandates that all Senior Executive Officers, Compliance Officers, and MLROs of Authorized Firms complete a least 15 hours of obligatory training every 12 months.
The purpose of this 15 CPD hours course is to provide an understanding about all the regulatory subjects imposed by the DFSA, and it was specifically developed for Authorized Individuals of DFSA-regulated enterprises.
ΣΚΟΠΟΣ ΣΕΜΙΝΑΡΙΟΥ
By the end of the programme, participants will:
- Understand the Key concepts about AML rules imposed on DFSA regulated firms.
- Learn the fundamentals of data protection.
- Take a look at the DFSA enforcement actions.
- Explain the DFSA’s conduct rules.
- Understand the DFSA’s expectations in outsourcing and operational resilience
- Apprehend the concept of corporate governance
- Identify the Board’s responsibility for compliance
ΣΕ ΠΟΙΟΥΣ ΑΠΕΥΘΥΝΕΤΑΙ
This course is beneficial to all:
- Senior Executive Officers
- Compliance Officers
- MLROs
- DFSA Regulated Firms
ΠΕΡΙΣΣΟΤΕΡΕΣ ΠΛΗΡΟΦΟΡΙΕΣ
Training Outline
AML Awareness for DFSA Regulated Firms (add sanctions)
Introduction
- Definition of Money LaunderingStages of Money Laundering
- The various red flags of money laundering
- AML Programs
- Customers using personal accounts to run businesses
- Assessing and Controlling AML Risks
- The criteria that constitutes a high-risk person, product or service, and geographic location
- High Risk Persons and Entities
- High Risk Products and Services
- High Risk Geographic Locations
- Recognizing and Reporting Unusual / Suspicious Activity
- Financial Action Task Force (FATF)
- Global Sanctions
- Office of Foreign Assets Control (OFAC)
- The role of OFAC and how an OFAC program should be implemented at the institution
UAE National Committee
UAE’S List Of Terrorist Individuals & Entities
UAE AML Executive Office
Applying a Risk-Based Approach
- The Risk-Based Approach
Business Risk Assessment
- Assessing Business AML Risks
- AML Systems and Controls
Customer Risk Assessment
- Guidance
- Assessing Customer AML Risks
Customer Due Diligence
- Requirement to Undertake Customer Due Diligence
- Timing of Customer Due Diligence
- Customer Due Diligence Requirements
- Enhance Customer Due Diligence
- Simplified Customer Due Diligence
- Ongoing Customer Due Diligence
- Failure to Conduct or Complete Customer Due Diligence
Reliance and Outsourcing
- Reliance on a Third Party
- Outsourcing
- Money Service Providers
Correspondence Banking, Electronic Fund Transfers and Audit
- Application
- Correspondent Banking
- Electronic fund transfers
- Audit
Sanctions and Other International Obligations
- Relevant United Nations Resolutions and Sanctions
- Government, Regulatory and International Findings
Money Laundering Reporting Office
- Appointment of a MLRO
- Qualities of a MLRO
- Responsibilities of a MLRO
AML Training Awareness
Suspicious Activity Reports
- Application and Definitions
- Internal Reporting Requirements
- Suspicious Activity Report
- Tipping-Off
- Freezing assets
General Requirements
- Groups, Branches and Subsidiaries
- Group Policies
- Notifications
- Record Keeping
- Annual AML Return
- Communication with the DFSA
- Employee Disclosures
- Decision Making Procedures
Designated Non-Financial Businesses and Professions (DNFBPs) Registration and Supervision
- Guidance
- Registration and Notifications
- Request to Withdraw Registration
- Disclosure of Regulatory Status
- Whistleblowing
Transitional Rules
- Application
- General
- Specific Relief – Ancillary Service Provider and DNFBPs
Data Protection – DIFC
Introduction And Scope Enforcement
- Title and Repeal
- Legislative Authority
- Date of Enactment
- Commencement
- Purpose of the Law
- Application of The Law
- Schedules
- Administration of The Law
General Requirements
- Requirements for Legitimate and Lawful Processing
- Lawfulness of Processing
- Processing of Special Categories of Personal Data
- Consent
- Conditions of consent and reliance on legitimate interests
- Legitimate interests
- Accountability and notification
- Records of Processing activities
- Designation of the Data Protection Officer (DPO)
- The DPO: Competencies and Status
- Role and Tasks of the DPO
- DPO Controller Assessment
- Data Protection Impact Assessment
- Prior Consultation
- Cessation of Processing
Joint Controllers and Processors
- Cessation of Processing
- Processors
- Processors and Sub-Processors
- Confidentiality
Data Export and Sharing
- Transfers Out of the DIFC: Adequate Level of Protection
- Transfers out of the DIFC in the Absence of an Adequate Level of Protection
- Data Sharing
Information Provision
- Providing Information where Personal Data Has Been Obtained from the Data Subject
- Providing Information Where Personal Data Has Not Been Obtained From the Data Subject
- Nature of Processing Information
Rights of Data Subjects
- Right to Withdraw Consent
- Rights to Access, Rectification and Erasure of Personal Data
- Right to Object to Processing
- Right to Restriction of Processing
- Controller’s Obligation to Notify
- Right to Data Portability
- Automated Individual Decision-Making, Including Profiling
- Non-Discrimination
- Methods of Exercising Data Subject Rights
Personal Data Breaches
- Notification of Personal Data Breaches to the Commissioner
- Notification of Personal Data Breaches to a Data Subject
The Commissioner
- Appointment of the Commissioner
- Removal of the Commissioner
- Resignation of the Commissioner
- Powers, Functions and Objectives of the Commissioner
- Delegation of Powers and Establishment of Advisory Committee
- Codes of Conduct
- Monitoring of Approved Codes of Conduct
- Certification Schemes
- Certification and Accreditation
- Production of Information
- Regulations
- Funding
- Annual Budget of the Commissioner
- Accounts
- Audit of Commissioner
- Annual Report
Remedies, Liability, and Sanctions
- Directions
- Lodging Complaints and mediation
- General Contravention
- Imposition of Fines
- Application to the Court
- Compensation
General Exemptions
DFSA Enforcement Actions
About Enforcement
- Stopping and Fixing
- Punishing and Deterring
- Protecting and confidence-building
Decision Notices and Regulatory Actions
Case Studies
DFSA’s and Conduct Rules
- DFSA Core Values and Ethics
- Anti-Bribery & Corruption Awareness
- Conflicts of Interest
- Ethics in Business
- Receipt of Payments Gifts and Benefits
- Client Protection
- Market Abuse and How to Prevent it
DFSA’s Expectations in Outsourcing and Operational Resilience
- Operational Resilience & Third Party Providers
- Definition of Outsourcing & Third Party Service Supply
- Existing Expectations on Outsourcing & Third Party Provision
- Material, Critical or Important Outsourcing Notifications
- Intra-Group Outsourcing
- Outsourcing and Data Security
- Cloud Outsourcing
- Risk Management of Outsourcing
- Potential Measures to Oversee Critical Third Parties
Corporate Governance update/Board Responsibility for Compliance
Definition of Reporting Entities
Obligations of Reporting Entities
Governance of Reporting Entities
Corporate Governance
- Corporate Governance Principles & Standards Applicable to Reporting Entities
- Requirements Relating to Fair Treatment of Shareholders
- Provisions to Address Conflicts of Interests
Market Disclosures
- Database
- Continuous Disclosures
- Disclosures by Connected Persons
- Disclosure of Material Interests
Financial Reports
- Annual financial report
- Interim financial report
- Auditor’s report
- Supply of financial statements
- Public Listed Companies
Sponsors and Compliance Advisers
- Appointment and Sponsors or Compliance Advisers
Miscellaneous
- DFSA Powers
Training Style
The programme is designed to provide participants with a better understanding of the various DFSA rules and regulations. The use of interactive case studies will help participants to think critically about scenarios that will be relevant to their respective roles and organisations.
By the end of the course, participants will have developed the confidence to comprehend what are the rules and regulations applicable to them in their day-to-day transacting.
CPD Recognition
This programme may be approved for up to 15 CPD units in Financial Regulation. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.
This training course may be approved as an external activity under the new ACAMS recertification category ”non-ACAMS credits” for up to 15 CPD units. Eligibility criteria and CPD Units are verified directly by the Association of Anti-Money Laundering Specialists (ACAMS).
Πληροφορίες Εκπαιδευτή
Nadine Ghosn Eid - Certified Anti-Money Laundering Specialist (CAMS)
Αναλυτικό Κόστος Σεμιναρίου
- € 1050.00
- € 0.00
- € 199.50
- € 1050.00
- € 1,249.50
Κοστολογικές Πληροφορίες
HRDA-approved seminars are exempted from VAT for eligible organisations applying for the HRDA subsidy. A 19% VAT will apply to seminars and participants who do not qualify for the HRDA subsidy
ΠΡΟΓΡΑΜΜΑ ΣΕΜΙΝΑΡΙΟΥ
Τρίτη - 03 Δεκ 2024
Ώρα
09:00 - 15:00
ΕΚΠΑΙΔΕΥΤΗΣ:
Nadine Ghosn EidΤοποθεσία:
OnLine Virtual Classroom
Τετάρτη - 04 Δεκ 2024
Ώρα
09:00 - 15:00
ΕΚΠΑΙΔΕΥΤΗΣ:
Nadine Ghosn EidΤοποθεσία:
OnLine Virtual Classroom
Πέμπτη - 05 Δεκ 2024
Ώρα
09:00 - 15:00
ΕΚΠΑΙΔΕΥΤΗΣ:
Nadine Ghosn EidΤοποθεσία:
OnLine Virtual Classroom
Εκδήλωση Ενδιαφέροντος : DFSA Regulatory Compliance CPD Programme
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Market Abuse and Regulation...
Description This course will provide a comprehensive review of Market Abuse and the respective regulatory environment. It will cover inside information and i...
31/01/2025 08:45
Αγγλικά
eLearning
Anti-Money Laundering and Counter Terrorist Finance...
This course provides staff with an understanding of the process of money laundering, the laws and regulations that make it illegal, and the responsibilities of ...
31/01/2025 08:45
Αγγλικά
eLearning
Corporate Governance for Financial Institutions...
The concept/term Corporate Governance has featured regularly in discussions, both within the professional and academic community, since the 1990s and has become...
31/01/2025 08:45
Αγγλικά
eLearning
Compliance Essentials...
ACompliance Essentials provides comprehensive coverage of the key compliance / conduct issues that financial services sector companies face today. It provides 8...
31/01/2025 08:45
Αγγλικά
eLearning
AIF - Alternative Investment Funds...
Description This course offers a comprehensive introduction to the Alternative Investment Funds (AIF). It addresses national and EU issues, reflecting the le...
31/01/2025 08:45
Αγγλικά
eLearning
Cyber Security Essentials...
We’re in an era that relies on technology more than eve. Aside from being a constant presence in our daily lives, it’s become ingrained in many of our business ...
31/01/2025 08:45
Αγγλικά
eLearning
MiFIR Transaction Reporting (5 CPD Units)...
DESCRIPTION MiFID II/MiFIR which came into effect on 3 January 2018, is a new legislative framework which aims to strengthen investor protection and improve th...
31/01/2025 08:45
5.00 ώρες (1 ημέρα)
Αγγλικά
eLearning
Certificate in KYC and CDD...
KYC/CDD is a critical element for effectively managing the risks posed by potential clients (thus protecting the organization against criminals, terrorists, and...
31/01/2025 08:45
Αγγλικά
eLearning
SRA Standards and Regulations...
The Solicitors Regulation Authority (SRA) Standards and Regulations 2019 are the framework for the regulation of solicitors and law firms in England and Wales. ...
31/01/2025 08:45
2.00 ώρες (1 ημέρα)
Αγγλικά
eLearning
CySEC 20 CPD Bundle 7...
The course includes: Governance, Risk Management and Compliance Fundamentals of Environmental, Social & Governance (ESG) Reporting & Compliance Ethics...
31/01/2025 08:45
Αγγλικά
eLearning
CySEC 10 CPD Bundle 3...
The course includes: ICAAP – Internal Capital Adequacy Assessment Process Financial Crime Risk Management Ethics and Compliance ...
31/01/2025 08:45
Αγγλικά
eLearning
CySEC 15 CPD Bundle 2...
The course includes: The Fund Industry: Latest Regulatory Framework Sustainable Finance Disclosure Regulation (SFDR) and other ESG Initiatives ...
31/01/2025 08:45
Αγγλικά
eLearning
Finance for Law Firms...
This course is tailored for law firms and practicing lawyers, providing essential insights and practical knowledge to navigate legal compliance and mitigate ass...
31/01/2025 08:45
2.00 ώρες (1 ημέρα)
Αγγλικά
eLearning
EKK (CySEC) Ερωτήσεις Προετοιμασίας Βασικής Εξέτασης...
Περιγραφή Τρεις (3) Εξετάσεις Ποετοιμασίας για τη Βασική Εξέταση της Επιτροπής Κεφαλαιαγοράς Κύπρου (ΕΚΚ) στα Ελληνικά.. ...
31/01/2025 08:45
Ελληνικά
eLearning
IGCA Certificate in AML...
The IGCA’s AML Certificate’s Curriculum IGCA’s AML Certificate covers the following specific topics: – Money laundering methods, techniques, red flags and...
31/01/2025 08:45
Αγγλικά
eLearning
Ethereum Developer...
Description This course on Ethereum developers is designed for programmers and developers who want to take a comprehensive deep dive in writing smart contra...
31/01/2025 08:45
Αγγλικά
eLearning
CySEC 20 CPD Bundle 5...
The course includes: The Fund Industry: Latest Regulatory Framework Know your Client (KYC) and Customer Due Diligence (CDD) Risk Based Approach (RBA) ...
31/01/2025 08:45
Αγγλικά
eLearning
Risk Management for Law Firms...
This short course provides participants with a comprehensive understanding of risk management principles and practices specifically tailored to the legal indust...
31/01/2025 08:45
2.00 ώρες (1 ημέρα)
Αγγλικά
eLearning
European Market Infrastructure Regulation (EMIR) Overview...
Description This course offers a comprehensive overview of the EMIR. It addresses the EMIR requirements, the types of counterparties and the clearing obligat...
31/01/2025 08:45
Αγγλικά
eLearning
Sustainable Finance Disclosure Regulation (SFDR) and other ESG Initiat...
Sustainable Finance refers to any form of financial service integrating Environmental, Social and Governance (ESG) criteria into the business or investment...
31/01/2025 08:45
Αγγλικά
Επιχορηγημένο-ΑνΑΔ
eLearning
CySEC 15 CPD Bundle 4...
The course includes: Fundamentals of Environmental, Social & Governance (ESG) Reporting & Compliance Financial Crime Risk Management Digital Operation...
31/01/2025 08:45
Αγγλικά
eLearning
Certificate in Compliance...
Every organization faces a myriad of risks that can threaten its operations, reputation, and bottom line. A robust, effective compliance program can make the di...
31/01/2025 08:45
Αγγλικά
eLearning
CySEC 10 CPD Bundle 7...
The course includes: International Economic Sanctions Know your Client (KYC) and Customer Due Diligence (CDD) Training Duration ...
31/01/2025 08:45
Αγγλικά
eLearning
CISI International Introduction to Investment...
Description The International Introduction to Investment offers a broad introduction to the financial services professional sector, with a specific focus on ...
31/01/2025 08:45
Αγγλικά
eLearning
CySEC 10 CPD Bundle 5...
The course includes: AML Suspicious Activity Reports and Suspicious Transaction Reports (SAR/STRs) Market Abuse Regulation Overview Best Execution Ove...
31/01/2025 08:45
Αγγλικά
eLearning
CySEC 10 CPD Bundle 4...
The course includes: European Market Infrastructure Regulation (EMIR) Overview Practical Aspects of the Compliance Function Ethics and Compliance ...
31/01/2025 08:45
Αγγλικά
eLearning
CySEC 15 CPD Bundle 8...
The course includes: Advanced Anti-Money Laundering for Financial Institutions International Economic Sanctions Product Governance, Suitability and Ap...
31/01/2025 08:45
Αγγλικά
eLearning
CySEC 20 CPD Bundle 4...
The course includes: Anti-Bribery and Anti-Corruption Anti-Money Laundering and Terrorism Financing Fundamentals Corporate Governance for Financial In...
31/01/2025 08:45
Αγγλικά
eLearning
CySEC 20 CPD Bundle 1...
The course includes: Risk Based Approach (RBA) to Anti Money Laundering AML Suspicious Activity Reports and Suspicious Transaction Reports (SAR/STRs) ...
31/01/2025 08:45
Αγγλικά
eLearning
CySEC 15 CPD Bundle 7...
The course includes: Governance, Risk Management and Compliance ICAAP – Internal Capital Adequacy Assessment Process Digital Operational Resilience Ac...
31/01/2025 08:45
Αγγλικά
eLearning
AGRC Certificate in Compliance...
Faced with increasingly regulated environment, this programme offers insight into good compliance practices and the skills to lead effective compliance programm...
31/01/2025 08:45
Αγγλικά
eLearning
CySEC 15 CPD Bundle 1...
The course includes: MiFID II Overview European Market Infrastructure Regulation (EMIR) Overview Anti-Money Laundering and Terrorism Financing Fundame...
31/01/2025 08:45
Αγγλικά
eLearning
Sales, Marketing & Customer Services...
In today’s competitive business landscape, effective communication, empathy, and problem-solving skills are crucial for success in sales, marketing, and custome...
31/01/2025 08:45
Αγγλικά
eLearning
Anti-Money Laundering (AML) for Legal Professionals and DNFBPs...
Designated Non-Financial Businesses and Professionals must have in place and implement procedures in order to identity a person (KYC) and also exercise an inves...
31/01/2025 08:45
Αγγλικά
eLearning
CySEC 20 CPD Bundle 3...
The course includes: ICAAP – Internal Capital Adequacy Assessment Process Fundamentals of Environmental, Social & Governance (ESG) Reporting & Complianc...
31/01/2025 08:45
Αγγλικά
eLearning
Advanced Anti-Money Laundering for Financial Institutions...
An intermediate level course designed both for those in an AML or compliance roles and those looking to embark on a new career in AML. You will gain actionable,...
31/01/2025 08:45
Αγγλικά
eLearning
AIF and AIFM...
Description This course offers a comprehensive introduction to Alternative Investment Funds (AIF) and to Alternative Investment Fund Managers (AIFM) It addre...
31/01/2025 08:45
Αγγλικά
eLearning
Compliance Introduction...
A firm needs to establish, implement and maintain adequate policies and procedures sufficient to ensure compliance of the firm (covering its managers, employees...
31/01/2025 08:45
Αγγλικά
eLearning
Conflict of Interest (COI)...
Conflict of Interest Course (FCA) This course provides staff with an understanding of Conflict of Interest, the laws and regulations that make it illegal, and t...
31/01/2025 08:45
Αγγλικά
eLearning
Compliance Introduction...
Compliance involves the efforts and programs of an organization to ensure that the business complies with government and industry regulations. If your organizat...
31/01/2025 08:45
Αγγλικά
eLearning
MiFIR iLecture...
MiFIR Transaction Reporting iLecture by Vivienne Bannigan An interactive 90-minute on-demand MiFIR workshop. Background Accurate and complete MiFIR...
31/01/2025 08:45
Αγγλικά
eLearning
Anti-Money Laundering for Law Firms...
Reduce risk and safeguard your business. Created in partnership with industry experts, our training is designed to develop the right behaviours and deliver bett...
31/01/2025 08:45
Αγγλικά
eLearning
Market Abuse Regulation Overview...
This course offers a condensed review of Market Abuse Regulation (MAR). It addresses the characteristics of market abuse and the impact on firms and individuals...
31/01/2025 08:45
Αγγλικά
eLearning
CySEC Advanced Examination Practice and Mock Exams...
Description A set of 6 full Mock & Revision Exams in English for the latest CySEC Advanced Examination Syllabus. ...
31/01/2025 08:45
Αγγλικά
eLearning
Ethics and Compliance...
This course will help you to increase your personal ethics and explore your obligations to act with integrity in all aspects of your work and professional relat...
31/01/2025 08:45
Αγγλικά
eLearning
Governance, Risk Management and Compliance (4 CPD Units)...
The self-based online training programme provides the participants with a broad range of areas addressed in a Governance, Risk and Compliance (GRC) model. Parti...
31/01/2025 08:45
Αγγλικά
eLearning
Fundamentals of Risk Management...
Description This course offers a condensed review of risk management, with a specific focus on operational, credit and market risks. The course also covers r...
31/01/2025 08:45
Αγγλικά
eLearning
Financial Promotion and Marketing Compliance...
Description This course examines the role of the regulatory framework and competent authorities in countries such as the UK, Malta, the US, Cyprus and German...
31/01/2025 08:45
Αγγλικά
eLearning
Sales Compliance and Techniques for Investment Firms (5 CPD Units)...
DESCRIPTION This course aims, is to assist professionals in investment firms, in particularly those whose primary function is within the Sales, customer rete...
31/01/2025 08:45
Αγγλικά
eLearning
Certified Blockchain Developer - Ethereum (CBDE) with Exam Voucher...
Description This course will cover the syllabus of BTA's Certified Blockchain Developer - Ethereum (CBDE) examination. The Certified Blockchain Develope...
31/01/2025 08:45
Αγγλικά
eLearning
Information Security for Law Firms...
This specialized course is tailored for law firms, providing essential knowledge and practical skills to navigate data protection obligations and cybersecurity ...
31/01/2025 08:45
3.00 ώρες (1 ημέρα)
Αγγλικά
eLearning
GDPR General Data Protection Regulation Staff Awareness...
Description This course examines GDPR from a Staff Awareness perspective. You will appreciate the need, scope and concepts of GDPR as well as learn about the...
31/01/2025 08:45
Ελληνικά
eLearning
Corporate and Social Responsibility for Law Firms...
The legal profession is increasingly recognizing its role in addressing social and environmental challenges. This course explores the concept of corporate socia...
31/01/2025 08:45
Αγγλικά
eLearning
CySEC 15 CPD Bundle 3...
The course includes: Market Abuse and Regulation Treating Customers Fairly and Handling Complaints in the Financial Services Sector ...
31/01/2025 08:45
Αγγλικά
eLearning
CySEC 10 CPD Bundle 6...
The course includes: Financial Regulation: The International Regulatory Environment Governance, Risk Management and Compliance Digital Operational Res...
31/01/2025 08:45
Αγγλικά
eLearning
Compliance Monitoring and Testing...
This course explores what to consider when building a compliant Compliance Monitoring programme and how to effectively deliver reports. It considers the FCA’s r...
31/01/2025 08:45
Αγγλικά
eLearning
CySEC 20 CPD Bundle 6...
The course includes: Best Execution Overview AIF – Alternative Investment Funds Understanding Securities Financing Transaction Regulation – SFTR Fin...
31/01/2025 08:45
Αγγλικά
eLearning
Certified Blockchain Business Foundations (CBBF) with Exam Voucher...
Description This course will cover the syllabus of BTA's Certified Blockchain Business Foundations (CBBF) examination. The Certified Blockchain Business...
31/01/2025 08:45
Αγγλικά
eLearning
Approved Persons Regime...
Approved Persons Regime awareness course for all members of firms NOT subject to the Senior Managers & Certification Regime (SM&CR) which came into effect on 7 ...
31/01/2025 08:45
Αγγλικά
eLearning
The Fund Industry: Latest Regulatory Framework...
Description This course offers a comprehensive introduction to AIF, AIFM, AIFMD, and UCITS. It addresses the various categories and legal forms of AIFs, the ...
31/01/2025 08:45
Αγγλικά
eLearning