DFSA Regulatory Compliance CPD Programme

- Χρηματοοικ. Ασφαλιστικά Τραπεζικά - Νομοθεσία, Νομική & Δικηγόροι - Πιστοποιήσεις/ Προσόντα/ Άδειες

18 Δεκ 2023 09:00 20 Δεκ 2023 15:00
Αγγλικά
15 ώρες ( 3 μέρες )
DFSA Regulatory Compliance CPD Programme

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).

Trainer's Information
Nadine Ghosn Eid - Certified Anti-Money Laundering Specialist (CAMS)

Nadine Ghosn Eid is the Founder of BeyondComply, a compliance consultancy and training firm established to help financial services companies understand and overcome the challenges arising from compliance, regulation, and market developments. Nadine is a Certified Anti-Money Laundering Specialist (CAMS) based in Beirut who’s been a Speaker in various Global Compliance and Financial Crime Prevention Conferences, and has more than 26 years of Banking Experience with a focus on Compliance, Treasury, Capital Markets and Private Banking, in addition to 17 years of concentration in the Cards and Payments Industry. Nadine serves as a Professional Consultant in Anti-Money Laundering, Governance Risk & Compliance, Regulatory Compliance, Data Protection, and Cards Industry Rules and Regulations. She is also certified as a Trainer by the European Institute of Management and Finance (EIMF), an EU GDPR Foundation and Practitioner by The Knowledge Academy UK, and in Financial Derivatives, Securities, and FSA Regulations by the UK’s Chartered Institute for Securities & Investments (CISI). Nadine currently holds also the position of Director of Compliance & Regulatory Affairs at areeba, a Leading Regional Financial Technology company specialized in the payment cards and electronic services and in offering issuing and acquiring services to banks, other financial institutions, merchants and retailers. Prior to areeba, Nadine worked for 14 years with CSCBank sal, a regional leader in the card and electronic payment processing industry, of which the last three years have been also as Head of Compliance. Nadine holds a Master’s Degree in Money and Banking from The American University of Beirut. She has an extended financial experience in the Middle Eastern, African, American, and European markets. She is fluent in English, French and Arabic, and is no stranger to EU and US legislations, having worked for multiple banks that do business in European and American markets.

Αναλυτικό Κόστος Σεμιναρίου
  • € 1050.00
  • € 0.00
  • € 199.50
  • € 1050.00

Περαιτέρω 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

Δευτέρα - 18 Δεκ 2023

Ώρα

09:00 - 15:00

ΕΚΠΑΙΔΕΥΤΗΣ:

Nadine Ghosn Eid

Τοποθεσία:

OnLine Virtual Classroom

Τρίτη - 19 Δεκ 2023

Ώρα

09:00 - 15:00

ΕΚΠΑΙΔΕΥΤΗΣ:

Nadine Ghosn Eid

Τοποθεσία:

OnLine Virtual Classroom

Τετάρτη - 20 Δεκ 2023

Ώρα

09:00 - 15:00

ΕΚΠΑΙΔΕΥΤΗΣ:

Nadine Ghosn Eid

Τοποθεσία:

OnLine Virtual Classroom

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31/01/2024 11:20

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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...

31/01/2024 11:20

Αγγλικά

eLearning

Sales Compliance and Techniques for Investment Firms (5 CPD Units)...

DESCRIPTIONThis course aims, is to assist professionals in investment firms, in particularly those whose primary function is within the Sales, customer retentio...

31/01/2024 11:20

Αγγλικά

eLearning

Financial Promotion and Marketing Compliance...

DescriptionThis course examines the role of the regulatory framework and competent authorities in countries such as the UK, Malta, the US, Cyprus and Germany, f...

31/01/2024 11:20

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 ...

31/01/2024 11:20

Αγγλικά

eLearning

Product Governance, Suitability and Appropriateness (5 CPD Units)...

DESCRIPTIONThe product governance regime aims to ensure that firm’s act in a client’s best interests, including funds and related management services, to end cl...

31/01/2024 11:20

Αγγλικά

eLearning

Foreign Account and Tax Compliance Act (FATCA) & Common Reporting Stan...

DESCRIPTIONThis course gives an in-depth overview of the two major documents that shape today’s international tax environment: the U.S. Foreign Account and Tax ...

31/01/2024 11:20

5 ώρες (1 ημέρα)

Αγγλικά

eLearning

Practical Aspects of the Compliance Function...

DescriptionThis course offers a practical review of the compliance function. It addresses the roles, responsibilities and mission of the compliance officer, the...

31/01/2024 11:20

Αγγλικά

eLearning

CySEC Regulations 15 CPD Bundle 8...

Description This CPD bundle includes the following modules: • ICAAP - Internal Capital Adequacy Assessment Process • The Fund Industry: Latest Regulatory Framew...

31/01/2024 11:20

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...

31/01/2024 11:20

Αγγλικά

eLearning

CySEC Regulations 10 CPD Bundle 5...

DescriptionThis CPD bundle includes the following modules: • Treating Customers Fairly and Handling Complaints in the Financial Services Sector • Market Abuse R...

31/01/2024 11:20

Αγγλικά

eLearning

Market Abuse Regime (MAR) iLecture...

Market Abuse Regime (MAR) iLecture by Vivienne BanniganAn interactive 90-minute on-demand market abuse workshop.BackgroundThe purpose of the market abuse regime...

31/01/2024 11:20

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 Developer - Ethe...

31/01/2024 11:20

Αγγλικά

eLearning

CySEC Regulations 10 CPD Bundle 4...

Description This CPD bundle includes the following modules: • Financial Promotion and Marketing Compliance • Treating Customers Fairly and Handling Complaints i...

31/01/2024 11:20

Αγγλικά

eLearning

MiFIR Transaction Reporting (5 CPD Units)...

DESCRIPTIONMiFID II/MiFIR which came into effect on 3 January 2018, is a new legislative framework which aims to strengthen investor protection and improve the ...

31/01/2024 11:20

5 ώρες (1 ημέρα)

Αγγλικά

eLearning

CySEC Regulations 15 CPD Bundle 6...

Description This CPD bundle includes the following modules: • Insider Dealing and Market Manipulation • European Market Infrastructure Regulation (EMIR) Overvie...

31/01/2024 11:20

Αγγλικά

eLearning

MiFIR iLecture...

MiFIR Transaction Reporting iLecture by Vivienne BanniganAn interactive 90-minute on-demand MiFIR workshop.BackgroundAccurate and complete MiFIR Transaction Rep...

31/01/2024 11:20

Αγγλικά

eLearning

CySEC Regulations 10 CPD Bundle 1...

Description This CPD bundle includes the following modules: • Anti-Money Laundering and Terrorism Financing Fundamentals • Fundamentals of Risk Management • MiF...

31/01/2024 11:20

Αγγλικά

eLearning

CySEC AML Certification Examination Practice and Mock Exams...

DescriptionA set of 4 full Mock & Revision Exams in English for the latest CySEC AML Certification Examination Syllabus....

31/01/2024 11:20

Αγγλικά

eLearning

Sales Fundamentals...

Although the definition of a sale is simple enough, the process of turning someone into a buyer can be very complex. It requires you to convince someone with a ...

31/01/2024 11:20

Αγγλικά

eLearning

IGCA Certificate in AML...

The IGCA’s AML Certificate’s CurriculumIGCA’s AML Certificate covers the following specific topics:– Money laundering methods, techniques, red flags and key ris...

31/01/2024 11:20

Αγγλικά

eLearning

CySEC Regulations 10 CPD Bundle 7...

Description This CPD bundle includes the following modules: • AIF and AIFM • Anti-Money Laundering and Terrorism Financing Fundamentals • Market Abuse Regulatio...

31/01/2024 11:20

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 contracts ...

31/01/2024 11:20

Αγγλικά

eLearning

CySEC Regulations 15 CPD Bundle 4...

Description This CPD bundle includes the following modules: • Market Abuse and Regulation • Anti-Bribery and Anti-Corruption Training Duration This course may t...

31/01/2024 11:20

Αγγλικά

eLearning

EKK (CySEC) Ερωτήσεις Προετοιμασίας Βασικής Εξέτασης...

Περιγραφή Τρεις (3) Εξετάσεις Ποετοιμασίας για τη Βασική Εξέταση της Επιτροπής Κεφαλαιαγοράς Κύπρου (ΕΚΚ) στα Ελληνικά.. ...

31/01/2024 11:20

Ελληνικά

eLearning

CySEC Regulations 10 CPD Bundle 3...

Description This CPD bundle includes the following modules: • European Market Infrastructure Regulation (EMIR) Overview • Practical Aspects of the Compliance Fu...

31/01/2024 11:20

Αγγλικά

eLearning

AIF and AIFM...

DescriptionThis course offers a comprehensive introduction to Alternative Investment Funds (AIF) and to Alternative Investment Fund Managers (AIFM) It addresses...

31/01/2024 11:20

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...

31/01/2024 11:20

Αγγλικά

eLearning

Insider Dealing and Market Manipulation...

DescriptionThis course will provide a comprehensive introduction to the Market Abuse Regulation's definitions on insider information and inside dealing. It will...

31/01/2024 11:20

Αγγλικά

eLearning

CySEC Regulations 15 CPD Bundle 7...

Description This CPD bundle includes the following modules: • Practical Aspects of the Compliance Function • Anti-Money Laundering and Terrorism Financing Funda...

31/01/2024 11:20

Αγγλικά

eLearning

CySEC AML Certification Examination Practice and Mock Exams...

A set of 5 full Mock & Revision Exams in English for the latest CySEC AML Certification Examination Syllabus.Registration and AccessTo register to this course, ...

31/01/2024 11:20

Αγγλικά

eLearning

Ethics, Integrity and Fairness in Financial Services...

Firms and individuals operating in the sector must be conscious and mindful of these standards and expectations and consider both whether they are satisfying th...

31/01/2024 11:20

Αγγλικά

eLearning

CASS iLecture...

CASS iLecture by Vivienne BanniganThis is a 90 minutes interactive iLecture on the In’s and Out’s of the CASS Resolution Pack.BackgroundSince 2010 the Financial...

31/01/2024 11:20

Αγγλικά

eLearning

The Fund Industry: Latest Regulatory Framework...

DescriptionThis course offers a comprehensive introduction to AIF, AIFM, AIFMD, and UCITS. It addresses the various categories and legal forms of AIFs, the rele...

31/01/2024 11:20

Αγγλικά

eLearning

AAT – Credit Management...

The AAT is the UK’s leading Accountancy body offering entry level qualifications. The AAT is open to all, regardless of age or experience there is a place that ...

31/01/2024 11:20

Αγγλικά

eLearning