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Legal Compliance for the Financial Services Sector

Financial services firms face a dense web of conduct, prudential and market integrity obligations. This course gives compliance and legal staff a practical map of the regulatory landscape governing banks, insurers, asset managers and intermediaries. Delegates learn to interpret licensing conditions, manage market conduct duties and build a compliance framework that satisfies financial sector regulators in the region.

What you will be able to do

  • Map the regulators and legislation governing financial services firms.
  • Interpret licensing, fit and proper and conduct obligations.
  • Build a compliance framework covering key regulatory duties.
  • Manage market conduct, disclosure and treating customers fairly.
  • Coordinate regulatory reporting and supervisory engagement.
  • Respond to enforcement action and remediation requirements.

Course outline

  1. 01The Financial Services Regulatory Landscape
  2. 02Licensing, Fit and Proper and Governance Duties
  3. 03Market Conduct and Treating Customers Fairly
  4. 04Product Disclosure and Advice Obligations
  5. 05Building the Compliance Framework and Monitoring
  6. 06Regulatory Reporting and Supervisory Engagement
  7. 07Enforcement, Penalties and Remediation

Who should attend

This programme is aimed at compliance officers, legal advisors, risk staff and managers in banks, insurers, asset managers and financial intermediaries.

Dates, venues and fees

DatesVenueDaysFeeCalendar
17 to 19 Aug 2026Johannesburg3R13,000
31 Aug to 2 Sep 2026Mauritius3US$1,500
7 to 9 Sep 2026Dubai3US$1,500
14 to 16 Sep 2026Lagos3US$1,500
21 to 23 Sep 2026Harare3US$1,500
28 to 30 Sep 2026Kampala3US$1,500
5 to 7 Oct 2026Dar es Salaam3US$1,500
12 to 14 Oct 2026Pretoria3R13,000
19 to 21 Oct 2026Cape Town3R13,000
2 to 4 Nov 2026Online3US$900
9 to 11 Nov 2026Mozambique3US$1,500
16 to 18 Nov 2026Cairo3US$1,500
23 to 25 Nov 2026Accra3US$1,500
30 Nov to 2 Dec 2026Lusaka3US$1,500
7 to 9 Dec 2026Kigali3US$1,500
14 to 16 Dec 2026Nairobi3US$1,500
21 to 23 Dec 2026Durban3R13,000

Fees are per delegate. South African venues are priced in rand; other locations and online in US dollars. Fees exclude 15% VAT where applicable. Group bookings of three or more delegates from the same organisation qualify for a reduced rate; contact us for a quotation.

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