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Preparing for a DFSA Inspection and Investigation
It is vital that you ensure your Firm is ready for an on-site assessment by the regulator, and you consider how the DFSA will test your Firm’s systems.
This course provides you with an overview of the supervisory regulatory role and the risk based approach to regulation. Further, the session will outline the regulator’s off-site and on-site regulatory assessment activities, and the scope and breadth of an on-site regulatory assessment.
Course Highlights
- Workshop style training course
- Interactive learning environment
- Maximum of 16 attendees per course
- Taught by a trainer who previously worked for the DFSA
- Real-life examples used
- Constitutes 3 hours of learning for the SII CPD scheme
