Compliance Training for Authorised Firms
Regulated firms in the DIFC and ADGM are required to ensure staff receive compliance training on a regular basis. We provide structured sessions covering key areas, including, but not limited to:
01. Anti-Money Laundering (AML) & Counter-Terrorist Financing (CTF):
Regulatory requirements, transaction monitoring, suspicious activity reporting, and risk mitigation.
02. Sanctions Compliance:
Understanding international sanctions regimes and their impact on financial transactions.
03. Conduct of Business Rules:
Requirements relating to client interactions, client classification, disclosure obligations, suitability assessments, and fair treatment of customers.
04. Corporate Governance & Regulatory Responsibilities:
Understanding the role of the Board and senior management in setting a compliance culture and ensuring regulatory obligations are met.
Interview Preparation for Licensed/Controlled functions
Certain individuals within regulated firms are required to be approved for holding the relevant functions, including Senior Executive Officers (SEO), Compliance Officers, MLROs, and Finance Officers. As part of this process, these individuals must attend an interview with the DFSA/FSRA to demonstrate an understanding of their responsibilities.
We provide tailored training to help new appointees prepare for their regulatory interview, covering:
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The regulatory framework applicable to their role.
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Key responsibilities and expectations under DFSA and FSRA regulations.
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Practical scenarios and how to respond to regulatory questions.
Corporate Governance Training for Boards & Senior Management
Board members and senior executives within DIFC and ADGM firms must have a clear understanding of their compliance obligations, particularly in areas such as Compliance, risk management, AML oversight, and internal systems and controls.
We offer governance training for senior management, covering:
- Board responsibilities and oversight in compliance and risk management.
- Key regulatory obligations under DIFC and ADGM frameworks.
- The role of senior leadership in setting the compliance culture of the firm.
Development of Training Materials
For firms that conduct their own in-house compliance training, we assist in developing training materials aligned with DFSA and FSRA requirements. This include:
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Case studies and real-world examples tailored to the firm’s business model.
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Assessment materials to test staff understanding.
Online Compliance Training
For larger firms or those with multiple offices, training can be provided via our online training platform, allowing for:
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Self-paced learning for staff across different locations.
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Tracking of training completion for regulatory record-keeping.
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Customised modules based on firm-specific compliance requirements.
How We Work
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Developing Training Content
Training sessions are tailored to the firm’s business model, staff roles, and regulatory expectations. Materials are designed to be practical, focusing on real-world compliance challenges.
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Delivery of Training
Training can be provided through:
- In-person workshops.
- Virtual sessions via video conferencing.
- Online learning modules hosted on our training platform.
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Post-Training Support
After training, we provide follow-up resources, assessment options, and ongoing regulatory updates to ensure compliance knowledge remains current.
Ready to Strengthen Your Compliance Knowledge?
Effective compliance starts with well-trained staff. Whether you need firm-wide training, DFSA interview preparation, or executive-level governance sessions, Clarity provides expert-led training tailored to your needs.
Schedule a Call Today, Contact us to discuss how we can help equip your team with the compliance expertise they need to stay ahead of regulatory expectations.
Contact Us
Contact Information
DIFC OFFICE:
N204-B North Tower
Emirates Financial Towers
DIFC, Dubai
United Arab Emirates
ADGM OFFICE:
Suite 310, Level 11
Al Sarab Tower, ADGM Square
Al Maryah Island, Abu Dhabi
United Arab Emirates
