The DFSA expect Senior Management of all regulated firms to take full responsibility for the Firm’s compliance with all rules and regulations, including all of the significant regulatory changes being introduced.

The development of an appropriate risk and control culture and the implementation of an effective risk management structure also add real value to the firm and should not be seen as an exercise undertaken simply to satisfy regulatory obligations.

This course is intended to provide guidance on the significance of Management functions, clarify the role and responsibilities of Management in financial services and identify the importance of the underlying systems and controls in supporting a Firm's Management.

The course will put all these responsibilities into a regulatory context and highlight additional responsibilities resulting from the DFSA’s substantial rule changes.