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CISI – UAE Financial Rules & Regulations (E-Learning)

CISI – UAE Financial Rules & Regulations (E-Learning)

CISI – UAE Financial Rules & Regulations (E-Learning)

This course familiarises the candidate with the guidelines applicable to the financial and the banking industry in UAE. The qualification focuses on markets and covers key financial principles and products in depth. The qualification also offers an introduction to financial services regulation in the UAE and ensures candidates are provided with an understanding of ethical behavior and acting with integrity.

The qualification is a regulatory requirement by the Securities & Commodity Authority for a number of job functions within financial services.

Who should study for this certificate?

  • Fresh graduates or final year students and staffs looking to enter the investment industry
  • Staffs responsible for making investment decisions, including administration, finance and accounting, IT, customer service, sales and marketing and HR and training
  • New employees in brokerage, financial planning, investment advisory, wealth management and asset management industry.

 Learning Outcome 

 Participants will gain an overview of the investment industry with a specific focus on securities and investments  

  • Participants will gain an understanding of ethical conduct and market integrity in relation to the investment industry 
  • Participants will gain an overview of all the areas of international investments 
  • Participants will gain an overview of various financial principles and products 

 Target Audience  

  • Professionals who like to obtain a higher understanding of the UAE Rules and Regulations and work in the banking and financial services sectors

Why study for this certificate?

  • The qualification is a regulatory requirement by the Securities & Commodity Authority for a number of job functions within financial services in the UAE.
  • In CISI’s qualification pathway, it can be taken as a stand-alone certificate or part of one of the CISI’s qualifications.
  • Candidates become associated with the rules and regulations of the financial industry in the UAE.

SCA Mandated Job Functions

  • Broker Representative
  • Compliance Officer/Anti-Money Laundering Officer/ Internal Controller
  • Trading Manager/Operations
  • Manager/clearing Officer
  • Risk Management Officer
  • Promoter
Chapter 1: The Regulatory Infrastructure
  • Federal Law No. 4 of 2000
  • Securities & Commodities Authority (SCA)
  • SCA Resolutions
  • Corporate Governance – (Law No. 3 issued Jan 2020)
  • Codes of Conduct
  • License Categories and Requirements
  • Accounting System Controls
Chapter 2: Licensed Bodies
  • General Provisions
  • Licensing Financial Activities
  • Further License Applicant Requirements
Chapter 3: Investment Funds
  • Local Funds
  • Provisions Specific to Certain Public Investment Funds
  • Cash Investment Funds
  • Exchange Traded Funds
  • Real Estate Funds
  • Evaluation of In-Kind Shares of Investment Funds
Chapter 4: Markets
  • The Central Depository
  • Issuing and Offering Shares in Public Joint-Stock Companies
  • Troubled Public Joint-Stock Companies
  • Conciliation
  • Debt Securities
  • Islamic Securities
  • Derivatives
  • Crypto Assets
Chapter 5: Anti-Money Laundering and Combating the Financing
of Terrorism and Illegal Organisations
  • Offences
  • The Role of the Financial Services Industry
  • Prohibitions
  • Politically Exposed Persons (PEPs)
  • Suspicious Transaction Reports (STRs)
  • Practical Measures
  • Record Keeping Requirements
  • Penalties
  • Market Abuse and Regulations in the UAE
  • Conflicts of Interest Accepted Practice in the UAE
    Chapter 6: Client Protection
    • Suitability Standards
    • Appropriateness Standards
    • Client Assets Accepted Practice in the UAE
    • Client Communications, Reporting, Financial Promotions and
      Advertising
    • Promoters and Introducers
    • Regulations for Special Purpose Acquisition Companies
    Chapter 7: Trading
    • Abu Dhabi Securities Market ADX
    • Broker and Trading Rules of the ADX
    • Clearing, Depository and Registry Rules
    • Clearing in Commodities Markets
    • Dubai Gold & Commodities Exchange
    Chapter 8: Dubai Financial Market (DFM)
    • Brokerage Firms
    • Rules of Securities Trading in the DFM
    • The Professional Code of Conduct (DFM)
    • Online Trading Regulations (DFM)
    • Order Types (DFM)
    • Order Handling (DFM)
Fee Per participant

USD 375

Fees is inclusive of VAT

Language: English

Overview

This course familiarises the candidate with the guidelines applicable to the financial and the banking industry in UAE. The qualification focuses on markets and covers key financial principles and products in depth. The qualification also offers an introduction to financial services regulation in the UAE and ensures candidates are provided with an understanding of ethical behavior and acting with integrity.

The qualification is a regulatory requirement by the Securities & Commodity Authority for a number of job functions within financial services.

Who should study for this certificate?

  • Fresh graduates or final year students and staffs looking to enter the investment industry
  • Staffs responsible for making investment decisions, including administration, finance and accounting, IT, customer service, sales and marketing and HR and training
  • New employees in brokerage, financial planning, investment advisory, wealth management and asset management industry.

 Learning Outcome 

 Participants will gain an overview of the investment industry with a specific focus on securities and investments  

  • Participants will gain an understanding of ethical conduct and market integrity in relation to the investment industry 
  • Participants will gain an overview of all the areas of international investments 
  • Participants will gain an overview of various financial principles and products 

 Target Audience  

  • Professionals who like to obtain a higher understanding of the UAE Rules and Regulations and work in the banking and financial services sectors

Why study for this certificate?

  • The qualification is a regulatory requirement by the Securities & Commodity Authority for a number of job functions within financial services in the UAE.
  • In CISI’s qualification pathway, it can be taken as a stand-alone certificate or part of one of the CISI’s qualifications.
  • Candidates become associated with the rules and regulations of the financial industry in the UAE.

SCA Mandated Job Functions

  • Broker Representative
  • Compliance Officer/Anti-Money Laundering Officer/ Internal Controller
  • Trading Manager/Operations
  • Manager/clearing Officer
  • Risk Management Officer
  • Promoter
Course Outline
Chapter 1: The Regulatory Infrastructure
  • Federal Law No. 4 of 2000
  • Securities & Commodities Authority (SCA)
  • SCA Resolutions
  • Corporate Governance – (Law No. 3 issued Jan 2020)
  • Codes of Conduct
  • License Categories and Requirements
  • Accounting System Controls
Chapter 2: Licensed Bodies
  • General Provisions
  • Licensing Financial Activities
  • Further License Applicant Requirements
Chapter 3: Investment Funds
  • Local Funds
  • Provisions Specific to Certain Public Investment Funds
  • Cash Investment Funds
  • Exchange Traded Funds
  • Real Estate Funds
  • Evaluation of In-Kind Shares of Investment Funds
Chapter 4: Markets
  • The Central Depository
  • Issuing and Offering Shares in Public Joint-Stock Companies
  • Troubled Public Joint-Stock Companies
  • Conciliation
  • Debt Securities
  • Islamic Securities
  • Derivatives
  • Crypto Assets
Chapter 5: Anti-Money Laundering and Combating the Financing
of Terrorism and Illegal Organisations
  • Offences
  • The Role of the Financial Services Industry
  • Prohibitions
  • Politically Exposed Persons (PEPs)
  • Suspicious Transaction Reports (STRs)
  • Practical Measures
  • Record Keeping Requirements
  • Penalties
  • Market Abuse and Regulations in the UAE
  • Conflicts of Interest Accepted Practice in the UAE
    Chapter 6: Client Protection
    • Suitability Standards
    • Appropriateness Standards
    • Client Assets Accepted Practice in the UAE
    • Client Communications, Reporting, Financial Promotions and
      Advertising
    • Promoters and Introducers
    • Regulations for Special Purpose Acquisition Companies
    Chapter 7: Trading
    • Abu Dhabi Securities Market ADX
    • Broker and Trading Rules of the ADX
    • Clearing, Depository and Registry Rules
    • Clearing in Commodities Markets
    • Dubai Gold & Commodities Exchange
    Chapter 8: Dubai Financial Market (DFM)
    • Brokerage Firms
    • Rules of Securities Trading in the DFM
    • The Professional Code of Conduct (DFM)
    • Online Trading Regulations (DFM)
    • Order Types (DFM)
    • Order Handling (DFM)
Schedule & Fees
Fee Per participant

USD 375

Fees is inclusive of VAT

Language: English