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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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31/01/2025 11:39
Αγγλικά
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 11:39
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 11:39
Αγγλικά
eLearning
Certified Ethical Hacker...
A Certified Ethical Hacker (CEH) is a skilled professional who understands and knows how to look for weaknesses and vulnerabilities in target systems and uses t...
31/01/2025 11:39
Αγγλικά
eLearning
CASS iLecture...
CASS iLecture by Vivienne Bannigan This is a 90 minutes interactive iLecture on the In’s and Out’s of the CASS Resolution Pack. Background Since 2010 t...
31/01/2025 11:39
Αγγλικά
eLearning
Anti-Money Laundering and Terrorism Financing Fundamentals...
Effective Anti-Money Laundering (AML) programs – to ensure AML compliance — are a fundamental requirement for obliged entities. Ensuring effective policies, pro...
31/01/2025 11:39
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 11:39
Αγγλικά
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 11:39
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 11:39
Αγγλικά
eLearning
CySEC 20 CPD Bundle 2...
The course includes: Advanced Anti-Money Laundering for Financial Institutions International Economic Sanctions Sustainable Finance Disclosure Regulat...
31/01/2025 11:39
Αγγλικά
eLearning
CySEC 10 CPD Bundle 8...
The course includes: Market Abuse Regulation Overview Best Execution Overview Ethics, Integrity and Fairness in Financial Services Digital Operation...
31/01/2025 11:39
Αγγλικά
eLearning
CySEC 15 CPD Bundle 6...
The course includes: Insider Dealing and Market Manipulation European Market Infrastructure Regulation (EMIR) Overview Treating Customers Fairly and H...
31/01/2025 11:39
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 11:39
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 11:39
Αγγλικά
eLearning
CASS Introduction...
A short online e-learning primer aimed as an introductory overview for those encountering Client Money and Client Assets for the first time, and for those worki...
31/01/2025 11:39
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 11:39
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 11:39
2.00 ώρες (1 ημέρα)
Αγγλικά
eLearning
CySEC Certification Examination Preparation Course (Advanced, Basic)...
With a proven track record, the highly successful EIMF CySEC examination preparation course offers an in-depth coverage of all the required material, preparing ...
03/02/2025 16:30
32.00 ώρες (8 μέρες)
Αγγλικά
Επιχορηγημένο-ΑνΑΔ
Live Online
Card Fraud Management & Insider Fraud...
The course is designed to equip professionals with the knowledge and skills to effectively manage card fraud. It covers the latest trends, techniques, and techn...
05/02/2025 09:00
6.00 ώρες (2 μέρες)
Αγγλικά
Live Online
The Newly Enforced Digital Operational Resilience Act (D.O.R.A) Regula...
The course aims to provide a deep dive into the critical legislative package associated with the Digital Operational Resilience Act (DORA), which has recently c...
05/02/2025 10:00
5.00 ώρες (1 ημέρα)
Αγγλικά
Live Online
Trusts vs Forced Heirship Provisions...
Being a jurisdiction that historically relies on strong family bonds and protecting the preservation of family assets within the circle of close relatives, Cypr...
06/02/2025 09:00
2.00 ώρες (1 ημέρα)
Αγγλικά
Live Online
Fraud Reporting under PSD2 – An Overview of the EBA Guidelines...
In accordance with Article 96(6) of PSD2, Payment Service Providers (PSPs) must provide statistical data on fraud relating to different means of payment to thei...
11/02/2025 09:00
6.00 ώρες (1 ημέρα)
Αγγλικά
Επιχορηγημένο-ΑνΑΔ
Live Online
Cyprus Contract Law – The Basics...
What is a Contract? It may be surprising to hear that we form contracts every day without even knowing! This course will offer the opportunity to address ...
11/02/2025 09:00
6.00 ώρες (2 μέρες)
Αγγλικά
Επιχορηγημένο-ΑνΑΔ
Live Online
Cyprus Fund Administration Certificate by EIMF and CISI...
Professionals working within the Investment Fund Sector require a set of specific specialised knowledge and technical skills. The Cyprus Fund Administration Pro...
12/02/2025 09:00
24.00 ώρες (7 μέρες)
Αγγλικά
Επιχορηγημένο-ΑνΑΔ
Live Online
Risk-Based Approach for Crypto Asset Services Providers (CASP) and CA ...
The programme will examine how CASPs need to implement the risk-based approach according to the recent FATF updated guidance: “A risk-based approach to virtual ...
12/02/2025 09:00
5.00 ώρες (2 μέρες)
Αγγλικά
Live Online
Fund Set Up in Cyprus: A Practical Guide...
This Seminar aims to provide participants the knowledge and understanding to be able to set up a fund in Cyprus from A to Z. The Cyprus Fund Industry and th...
13/02/2025 10:00
10.00 ώρες (2 μέρες)
Αγγλικά
Επιχορηγημένο-ΑνΑΔ
Live Online
Intellectual Property Copyright: The Law and its Enforcement...
Following the entry of Cyprus into the European Union, there was a need to harmonize and modernize the legislation regarding intellectual property rights. Intel...
18/02/2025 09:00
6.00 ώρες (1 ημέρα)
Αγγλικά
Επιχορηγημένο-ΑνΑΔ
Live Online
Anti-Money Laundering and Counter Terrorist Financing (AML & CTF) Regu...
Flows of illicit money can damage the igtntegrity, stability and reputation of the financial sector, and threaten the internal market of the Union a...
18/02/2025 10:00
7.00 ώρες (2 μέρες)
Αγγλικά
Επιχορηγημένο-ΑνΑΔ
Live Online
Company Meetings and Types of Resolutions...
The supervision of administrative services by different supervisory authorities results in, inter alia, the non-uniform application of its provisions on the Com...
18/02/2025 15:00
6.00 ώρες (1 ημέρα)
Αγγλικά
Επιχορηγημένο-ΑνΑΔ
Live Online
CySEC AML Certification Examination Preparation Course...
The CySEC AML Certification Examination requires very good knowledge of the Prevention and Suppression of Money Laundering and Terrorist Financing Laws of 20...
04/03/2025 16:30
16.00 ώρες (4 μέρες)
Αγγλικά
Επιχορηγημένο-ΑνΑΔ
Live Online
Corporate Sustainability Due Diligence (CSDD)...
In today’s global business environment, the importance of corporate sustainability due diligence (CSDD) cannot be overstated. Companies are increasingly held ac...
05/03/2025 09:00
4.00 ώρες (1 ημέρα)
Αγγλικά
Επιχορηγημένο-ΑνΑΔ
Live Online
Card Fraud Management & Insider Fraud...
The course is designed to equip professionals with the knowledge and skills to effectively manage card fraud. It covers the latest trends, techniques, and techn...
05/03/2025 09:00
6.00 ώρες (2 μέρες)
Αγγλικά
Live Online
DEI for Personal and Professional Impact...
This seminar is designed to introduce professionals to the essential concepts of Diversity, Equity, and Inclusion (DEI) and to empower them to contribute positi...
06/03/2025 09:00
4.00 ώρες (1 ημέρα)
Αγγλικά
Live Online
CySEC Certification Examination Preparation Course (Advanced, Basic)...
With a proven track record, the highly successful EIMF CySEC examination preparation course offers an in-depth coverage of all the required material, preparing ...
11/03/2025 16:30
32.00 ώρες (8 μέρες)
Αγγλικά
Επιχορηγημένο-ΑνΑΔ
Live Online
Lobbying Procedures in Cyprus – Principles and Provisions of Law of 20...
Lobbying is defined as any attempt by individuals or private interest groups to influence the decisions of government. Lobbying, on behalf of a group or ind...
12/03/2025 09:00
10.00 ώρες (2 μέρες)
Ελληνικά
Επιχορηγημένο-ΑνΑΔ
Live Online
The EU Artificial Intelligence Act Framework and implications for the ...
AI is rapidly transforming the global financial services industry, with the potential to disrupt and refine the existing nature of the industry. This is affecti...
12/03/2025 14:00
2.50 ώρες (1 ημέρα)
Αγγλικά
Live Online
Financial Statements Analysis – The AML Perspective...
An ability to understand the financial statements of a company to identify abnormalities and indications of suspicious events is one of the most vital skills fo...
13/03/2025 09:00
8.00 ώρες (2 μέρες)
Αγγλικά
Επιχορηγημένο-ΑνΑΔ
Live Online
Ορθολογιστική προσέγγιση προνοιών Νομοθεσίας για την Πρόληψη και την Α...
Στο σεμινάριο αναλύονται οι βασικές αρχές του Κώδικα για την Ηθική και Σεξουαλική Παρενόχληση στο χώρο εργασίας (Περί Ίσης Μεταχείρισης Ανδρών και Γυναικών στην...
13/03/2025 09:30
7.00 ώρες (2 μέρες)
Ελληνικά
Επιχορηγημένο-ΑνΑΔ
Live Online
Duties and Responsibilities of an AML & Compliance Officer in Relation...
Perhaps one of the most demanding and high intensity roles in the Finance Sector is that of the Compliance officer and AMLCO. In the Cyprus Fund Sector, the ...
20/03/2025 10:00
10.00 ώρες (2 μέρες)
Αγγλικά
Επιχορηγημένο-ΑνΑΔ
Live Online
EIMF Certificate in Blockchain & Crypto-Assets: Regulation and Policy...
Blockchain technology – the distributed platform that removes intermediaries from the equation and resolves the trust issue – has brought fundamental changes to...
27/03/2025 09:00
14.00 ώρες (3 μέρες)
Αγγλικά
Επιχορηγημένο-ΑνΑΔ
Live Online
CySEC Certification Examination Preparation Course (Advanced, Basic)...
With a proven track record, the highly successful EIMF CySEC examination preparation course offers an in-depth coverage of all the required material, preparing ...
09/04/2025 16:30
32.00 ώρες (8 μέρες)
Αγγλικά
Επιχορηγημένο-ΑνΑΔ
Live Online
The Essentials of Company Law: Setting Up a Company in Cyprus...
As a full member of the European Union, Cyprus remains a safe and popular destination for investment due to the significant tax benefits that Cyprus offers. Thi...
27/05/2025 09:30
6.00 ώρες (2 μέρες)
Αγγλικά
Επιχορηγημένο-ΑνΑΔ
Live Online
CySEC Certification Examination Preparation Course (Advanced, Basic)...
With a proven track record, the highly successful EIMF CySEC examination preparation course offers an in-depth coverage of all the required material, preparing ...
02/06/2025 16:30
32.00 ώρες (8 μέρες)
Αγγλικά
Επιχορηγημένο-ΑνΑΔ
Live Online
Financial Regulation and Compliance...
The regulatory framework pertaining to the financial and professional services sector is constantly changing, and new regulations, as well as updates to existin...
17/06/2025 09:00
10.00 ώρες (2 μέρες)
Αγγλικά
Επιχορηγημένο-ΑνΑΔ
Live Online
Financial Promotion and Marketing Compliance...
The programme aims to deliver an overview of how the financial promotion and marketing compliance has changed with the most recent directives, circulars, and le...
24/06/2025 09:00
10.00 ώρες (2 μέρες)
Αγγλικά
Επιχορηγημένο-ΑνΑΔ
Live Online