Designing Risk-based Compliance Frameworks in the DIFC (DIFC Compliance Series 2025)

Course Description

This practical session guides participants in designing compliance frameworks based on risk principles applicable across different regulatory contexts. Learn how to develop policies, monitoring systems, and controls that address firm-specific risks, including emerging challenges from fintech and digital assets.

Learning Objectives

• Understand the principles of risk-based compliance applicable to both regulated and non-regulated firms
• Develop tailored compliance frameworks that address specific risks relevant to your organisation
• Create effective policies, procedures, and controls that fit different regulatory contexts
• Implement monitoring, reporting, and escalation processes for ongoing compliance management
• Incorporate emerging trends such as fintech and digital asset risks into compliance programs

Course Outline

• Introduction to risk-based compliance: principles and benefits for all firms
• Key differences and overlaps in compliance obligations for regulated vs. non-regulated entities
• Designing policies and procedures tailored to organizational risk profiles
• Training and communication best practices to promote compliance culture
• Monitoring, reporting, and corrective action processes for diverse firms
• Addressing compliance challenges posed by fintech innovations and digital assets

Who Should Attend

• Compliance officers or managers
• Risk officers or managers
• Legal counsels and regulatory affairs professionals
• Operations and business managers
• Compliance enthusiasts and aspiring compliance professionals interested in gaining foundational or advanced knowledge
• Professionals from DIFC-regulated and non-regulated entities
• ​​​​​​Compliance enthusiasts and aspiring compliance professionals interested in gaining foundational or advanced knowledge

Why You Should Attend

• Gain practical skills for developing compliant, risk-focused adaptable compliance programs
• Navigate compliance in diverse regulatory environments
• Stay current on fintech and digital asset compliance risks
• Address challenges in digital and innovative financial or non-financial products

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Course Schedule & Delivery Format

• Date: Thursday 9 October 2025
• Time: 10am – 12pm
• Format: Live Online
• Venue: GoTo Webinar

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Additional Benefits

• Expert-led delivery by industry leaders
• Accreditation: 2 CLPD points and DFSA CPD compliance
• Certification: Certificate of Completion from DIFC Academy upon successful completion of the course

Speaker