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Risk-Based Supervision Duration: 1 Week/s

Course Information

  • Course Price $5950
  • Location Dubai Courses
  • Course Code RBSD
  • Course Date 14 Jul - 18 Jul 2025

Course Objectives
Risk-Based Supervision (RBS) is a proactive and structured supervisory approach aimed at identifying, assessing, and mitigating risks within financial institutions, insurance firms, pension funds, and other regulated entities. Instead of adopting a one-size-fits-all model, RBS focuses on the risk profiles of institutions and allocates supervisory resources based on the risk levels identified. This method promotes efficiency, protects stakeholders, and ensures regulatory compliance.

Who Should Attend?
Regulatory bodies and financial supervisors, Compliance officers and auditors, Risk managers in financial institutions, insurance companies, and pension funds, Senior management of regulated entities, Internal control officers, Government agencies involved in financial oversights.

Prerequisite Courses
None

Course Overview
Introduction to Risk-Based Supervision

  • Definition and scope of RBS.

  • RBS vs. traditional supervisory approaches.

  • Regulatory frameworks supporting RBS (e.g., Basel, IOSCO, IOPS).

    • Understanding Risk in Financial Institutions
  • Key risks in banking, insurance, and pensions.

  • Systemic risks vs. institution-specific risks.

    • Risk Identification and Measurement
  • Tools and techniques for risk assessment.

  • Quantitative vs. qualitative risk factors.

    • Developing Risk Profiles
  • Creating and assessing risk matrices.

  • Aligning risk profiles with institutional objectives.

    • Supervisory Strategies Based on Risk
  • Designing customized supervisory plans based on risk assessments.

  • Priority setting for high-risk vs. low-risk institutions.

    • Implementation of RBS Framework
  • Case studies from different sectors (banking, insurance, pensions).

  • Monitoring and revising risk profiles over time.

    • International Best Practices in RBS
  • Global examples of successful RBS implementation.

  • Challenges and solutions in adopting RBS across different jurisdictions.

    • Future of Risk-Based Supervision
  • Technological trends and the impact of AI and machine learning on RBS.

  • Innovations in risk measurement and data analytics.


    • Learning Goals
    Participants will:
  • Enhanced Supervision Efficiency: Participants will learn how to allocate supervisory resources more efficiently.

  • Proactive Risk Mitigation: Understand how to identify risks early, allowing for preventive actions rather than reactive ones.

  • Tailored Supervision Approaches: The ability to create custom supervisory strategies based on institution-specific risks.

  • Improved Stakeholder Protection: More robust systems to ensure that depositors, policyholders, and pensioners are safeguarded.

  • Regulatory Compliance: Assurance that institutions operate within set regulatory standards and avoid penalties.


    • Course Materials
    Notes, handouts and exercise materials

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