{"id":8399,"date":"2021-02-18T04:31:11","date_gmt":"2021-02-18T04:31:11","guid":{"rendered":"https:\/\/emergingmarketft.com\/virtual_training\/?post_type=dt_courses&#038;p=8399"},"modified":"2024-04-24T08:19:53","modified_gmt":"2024-04-24T08:19:53","slug":"cisi-uae-financial-rules-regulations","status":"publish","type":"dt_courses","link":"https:\/\/emergingmarketft.com\/virtual_training\/courses\/cisi-uae-financial-rules-regulations\/","title":{"rendered":"CISI &#8211; UAE Financial Rules &#038; Regulations (E-Learning)"},"content":{"rendered":"<div class=\"wpb-content-wrapper\"><p>[vc_row][vc_column][vc_empty_space height=&#8221;40px&#8221;]<div id=\"advanced-tabs-desc-wrap-8056\" class=\"ult_tabs \" style=\" \" data-tabsstyle=\"style1\"\r\n data-titlebg=\"#808080\" data-titlecolor=\"#ffffff\" data-fullheight=\"off\"\r\n data-titlehoverbg=\"#ffffff\" data-titlehovercolor=\"#808080\"\r\n data-rotatetabs=\"0\" data-responsivemode=\"Both\" data-animation=\"Slide\"\r\ndata-activetitle=\"#ffffff\" data-activeicon=\"\" data-activebg=\"#f99d20\"  data-respmode=\"Tabs\" data-respwidth=\"400\" data-scroll = \"on\" data-activeindex=\"1\"><ul id=advanced-tabs-wrap-6616 class=\"ult_tabmenu style1 Style_5\" style=\"color:transparent;border-bottom-color:transparent;border-bottom-width:0px;border-bottom-style:solid;border-bottom-width:0px;\"><li class=\"ult_tab_li ult_tab_style_5 \" data-iconcolor=\"#74777b\" data-iconhover=\"#ffffff\" style=\"background-color:#808080;border-top-left-radius:10px;\">\r\n\t\t\t\t\t<a href=\"#1589891825736-3\"  id=\"1589891825736-3\"  style=\"color:#ffffff;;border-color:#ffffff;   \" class=\"ult_a ult_tab_style_5 \">\r\n\t\t\t\t\t     <span class=\"ult_tab_main Both \">\r\n\t\t\t\t\t \t\t <span class=\"ult_tab_section\">\r\n\t\t\t\t\t   \t\t\t<span  data-ultimate-target='#advanced-tabs-wrap-6616 .ult-span-text'  data-responsive-json-new='{\"font-size\":\"desktop:15px;\",\"line-height\":\"\"}'  class=\"ult-span-text no_icon ult_tab_display_text ult-responsive\" style=\";\">Overview<\/span>\r\n\t\t\t\t\t   \t\t<\/span>\r\n\t\t\t\t\t\t<\/span>\r\n\t\t\t\t\t<\/a>\r\n\t\t\t\t\t<\/li><li class=\"ult_tab_li ult_tab_style_5 \" data-iconcolor=\"#74777b\" data-iconhover=\"#ffffff\" style=\"background-color:#808080;\">\r\n\t\t\t\t\t<a href=\"#1589891825767-0\"  id=\"1589891825767-0\"  style=\"color:#ffffff;;border-color:#ffffff;   \" class=\"ult_a ult_tab_style_5 \">\r\n\t\t\t\t\t     <span class=\"ult_tab_main Both \">\r\n\t\t\t\t\t \t\t <span class=\"ult_tab_section\">\r\n\t\t\t\t\t   \t\t\t<span  data-ultimate-target='#advanced-tabs-wrap-6616 .ult-span-text'  data-responsive-json-new='{\"font-size\":\"desktop:15px;\",\"line-height\":\"\"}'  class=\"ult-span-text no_icon ult_tab_display_text ult-responsive\" style=\";\">Course Outline<\/span>\r\n\t\t\t\t\t   \t\t<\/span>\r\n\t\t\t\t\t\t<\/span>\r\n\t\t\t\t\t<\/a>\r\n\t\t\t\t\t<\/li><li class=\"ult_tab_li ult_tab_style_5 \" data-iconcolor=\"#74777b\" data-iconhover=\"#ffffff\" style=\"background-color:#808080;border-top-right-radius:10px;\">\r\n\t\t\t\t\t<a href=\"#1589892086565-2-2\"  id=\"1589892086565-2-2\"  style=\"color:#ffffff;;border-color:#ffffff;   \" class=\"ult_a ult_tab_style_5 \">\r\n\t\t\t\t\t     <span class=\"ult_tab_main Both \">\r\n\t\t\t\t\t \t\t <span class=\"ult_tab_section\">\r\n\t\t\t\t\t   \t\t\t<span  data-ultimate-target='#advanced-tabs-wrap-6616 .ult-span-text'  data-responsive-json-new='{\"font-size\":\"desktop:15px;\",\"line-height\":\"\"}'  class=\"ult-span-text no_icon ult_tab_display_text ult-responsive\" style=\";\">Schedule &amp; Fees<\/span>\r\n\t\t\t\t\t   \t\t<\/span>\r\n\t\t\t\t\t\t<\/span>\r\n\t\t\t\t\t<\/a>\r\n\t\t\t\t\t<\/li><\/ul><div  data-ultimate-target='#advanced-tabs-desc-wrap-8056 .ult_tabcontent .ult_tab_min_contain  p'  data-responsive-json-new='{\"font-size\":\"\",\"line-height\":\"\"}' class=\"ult_tabcontent ult-responsive style1\" style=\"color:#74777b;\"><div class=\"ult_tab_min_contain \" >\n\t\t\t<div  class=\"ult_tabitemname\"  >\n\t\t\t\t[vc_column_text]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.<\/p>\n<p>The qualification is a regulatory requirement by the Securities &amp; Commodity Authority for a number of job functions within financial services.<\/p>\n<h3>Who should study for this certificate?<\/h3>\n<ul>\n<li class=\"direction-ltr align-start ql-indent-1 list-marker-udisc para-style-body\">Fresh graduates or final year students and staffs looking to enter the investment industry<\/li>\n<li class=\"direction-ltr align-start ql-indent-1 list-marker-udisc para-style-body\">Staffs responsible for making investment decisions, including administration, finance and accounting, IT, customer service, sales and marketing and HR and training<\/li>\n<li class=\"direction-ltr align-start ql-indent-1 list-marker-udisc para-style-body\">New employees in brokerage, financial planning, investment advisory, wealth management and asset management industry.<\/li>\n<\/ul>\n<h3><span data-ccp-props=\"{}\">\u00a0<\/span><b><span data-contrast=\"none\">Learning Outcome<\/span><\/b><span data-ccp-props=\"{}\">\u00a0<\/span><\/h3>\n<p><span data-ccp-props=\"{}\">\u00a0<\/span><span data-contrast=\"auto\">Participants will <\/span><span data-contrast=\"auto\">gain an <\/span><span data-contrast=\"auto\">overview of the investment industry with a specific focus on securities and investments<\/span><span data-contrast=\"auto\">\u00a0<\/span><span data-ccp-props=\"{&quot;134233279&quot;:true}\">\u00a0<\/span><\/p>\n<ul>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"1\" data-aria-level=\"1\"><span data-contrast=\"auto\">Participants will <\/span><span data-contrast=\"auto\">gain an understanding of ethical conduct and <\/span><span data-contrast=\"auto\">market integrity in relation to the investment industry<\/span><span data-ccp-props=\"{&quot;134233279&quot;:true}\">\u00a0<\/span><\/li>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"2\" data-aria-level=\"1\"><span data-contrast=\"auto\">Participants will <\/span><span data-contrast=\"auto\">gain an overview of all the areas of international investments<\/span><span data-ccp-props=\"{&quot;134233279&quot;:true}\">\u00a0<\/span><\/li>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"3\" data-aria-level=\"1\"><span data-contrast=\"auto\">Participants will <\/span><span data-contrast=\"auto\">gain an <\/span><span data-contrast=\"auto\">overview <\/span><span data-contrast=\"auto\">of various financial <\/span><span data-contrast=\"auto\">principles and products<\/span><span data-ccp-props=\"{&quot;134233279&quot;:true}\">\u00a0<\/span><\/li>\n<\/ul>\n<h3><span data-ccp-props=\"{}\">\u00a0<\/span><b><span data-contrast=\"none\">Target Audience<\/span><\/b><span data-ccp-props=\"{}\">\u00a0<\/span><span data-ccp-props=\"{}\">\u00a0<\/span><\/h3>\n<ul>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"1\" data-aria-level=\"1\">Professionals who like to obtain a higher understanding of the UAE Rules and Regulations and work in the banking and financial services sectors<\/li>\n<\/ul>\n<h3>Why study for this certificate?<\/h3>\n<ul>\n<li>The qualification is a regulatory requirement by the Securities &amp; Commodity Authority for a number of job functions within financial services in the UAE.<\/li>\n<li>In CISI\u2019s qualification pathway, it can be taken as a stand-alone certificate or part of one of the CISI\u2019s qualifications.<\/li>\n<li>Candidates become associated with the rules and regulations of the financial industry in the UAE.<\/li>\n<\/ul>\n<h3>SCA Mandated Job Functions<\/h3>\n<ul>\n<li class=\"direction-ltr align-start ql-indent-1 list-marker-udisc para-style-body\">Broker Representative<\/li>\n<li class=\"direction-ltr align-start ql-indent-1 list-marker-udisc para-style-body\">Compliance Officer\/Anti-Money Laundering Officer\/ Internal Controller<\/li>\n<li>Trading Manager\/Operations<\/li>\n<li>Manager\/clearing Officer<\/li>\n<li>Risk Management Officer<\/li>\n<li>Promoter<\/li>\n<\/ul>\n<p>[\/vc_column_text]\n\t\t\t<\/div>\n\t\t\t<div  class=\"ult_tabitemname\"  >\n\t\t\t\t[vc_row_inner][vc_column_inner width=&#8221;1\/2&#8243;][vc_column_text]<\/p>\n<h5>Chapter 1: The Regulatory Infrastructure<\/h5>\n<ul>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"3\" data-aria-level=\"1\">Federal Law No. 4 of 2000<\/li>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"3\" data-aria-level=\"1\">Securities &amp; Commodities Authority (SCA)<\/li>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"3\" data-aria-level=\"1\">SCA Resolutions<\/li>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"3\" data-aria-level=\"1\">Corporate Governance \u2013 (Law No. 3 issued Jan 2020)<\/li>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"3\" data-aria-level=\"1\">Codes of Conduct<\/li>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"3\" data-aria-level=\"1\">License Categories and Requirements<\/li>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"3\" data-aria-level=\"1\">Accounting System Controls<\/li>\n<\/ul>\n<h5>Chapter 2: Licensed Bodies<\/h5>\n<ul>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"1\" data-aria-level=\"1\">General Provisions<\/li>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"1\" data-aria-level=\"1\">Licensing Financial Activities<\/li>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"1\" data-aria-level=\"1\">Further License Applicant Requirements<\/li>\n<\/ul>\n<h5>Chapter 3: Investment Funds<\/h5>\n<ul>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"3\" data-aria-level=\"1\">Local Funds<\/li>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"3\" data-aria-level=\"1\">Provisions Specific to Certain Public Investment Funds<\/li>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"3\" data-aria-level=\"1\">Cash Investment Funds<\/li>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"3\" data-aria-level=\"1\">Exchange Traded Funds<\/li>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"3\" data-aria-level=\"1\">Real Estate Funds<\/li>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"3\" data-aria-level=\"1\">Evaluation of In-Kind Shares of Investment Funds<\/li>\n<\/ul>\n<h5>Chapter 4: Markets<\/h5>\n<ul>\n<li>The Central Depository<\/li>\n<li>Issuing and Offering Shares in Public Joint-Stock Companies<\/li>\n<li>Troubled Public Joint-Stock Companies<\/li>\n<li>Conciliation<\/li>\n<li>Debt Securities<\/li>\n<li>Islamic Securities<\/li>\n<li>Derivatives<\/li>\n<li>Crypto Assets<\/li>\n<\/ul>\n<p>[\/vc_column_text][\/vc_column_inner][vc_column_inner width=&#8221;1\/2&#8243;][vc_column_text]<\/p>\n<h5>Chapter 5: Anti-Money Laundering and Combating the Financing<br \/>\nof Terrorism and Illegal Organisations<\/h5>\n<ul>\n<li>Offences<\/li>\n<li>The Role of the Financial Services Industry<\/li>\n<li>Prohibitions<\/li>\n<li>Politically Exposed Persons (PEPs)<\/li>\n<li>Suspicious Transaction Reports (STRs)<\/li>\n<li>Practical Measures<\/li>\n<li>Record Keeping Requirements<\/li>\n<li>Penalties<\/li>\n<li>Market Abuse and Regulations in the UAE<\/li>\n<li>Conflicts of Interest Accepted Practice in the UAE<br \/>\n<h5>Chapter 6: Client Protection<\/h5>\n<ul>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"1\" data-aria-level=\"1\">Suitability Standards<\/li>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"2\" data-aria-level=\"1\">Appropriateness Standards<\/li>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"3\" data-aria-level=\"1\">Client Assets Accepted Practice in the UAE<\/li>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"4\" data-aria-level=\"1\">Client Communications, Reporting, Financial Promotions and<br \/>\nAdvertising<\/li>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"4\" data-aria-level=\"1\">Promoters and Introducers<\/li>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"4\" data-aria-level=\"1\">Regulations for Special Purpose Acquisition Companies<\/li>\n<\/ul>\n<h5>Chapter 7: Trading<\/h5>\n<ul>\n<li>Abu Dhabi Securities Market ADX<\/li>\n<li>Broker and Trading Rules of the ADX<\/li>\n<li>Clearing, Depository and Registry Rules<\/li>\n<li>Clearing in Commodities Markets<\/li>\n<li>Dubai Gold &amp; Commodities Exchange<\/li>\n<\/ul>\n<h5>Chapter 8: Dubai Financial Market (DFM)<\/h5>\n<ul>\n<li>Brokerage Firms<\/li>\n<li>Rules of Securities Trading in the DFM<\/li>\n<li>The Professional Code of Conduct (DFM)<\/li>\n<li>Online Trading Regulations (DFM)<\/li>\n<li>Order Types (DFM)<\/li>\n<li>Order Handling (DFM)<\/li>\n<\/ul>\n<\/li>\n<\/ul>\n<p>[\/vc_column_text][\/vc_column_inner][\/vc_row_inner]\n\t\t\t<\/div>\n\t\t\t<div  class=\"ult_tabitemname\"  >\n\t\t\t\t[vc_row_inner][vc_column_inner width=&#8221;1\/2&#8243;][vc_column_text]<\/p>\n<div class=\"fees-box back-color\">\n<h5 class=\"color-white mb-0\">Fee Per participant<\/h5>\n<h3 class=\"color-white mb-0\">USD 375<\/h3>\n<\/div>\n<p style=\"text-align: center;\"><b>Fees is inclusive of VAT<\/b><\/p>\n<p>[\/vc_column_text][\/vc_column_inner][vc_column_inner width=&#8221;1\/2&#8243;][vc_column_text]<\/p>\n<p style=\"text-align: center;\">Language: English<\/p>\n<p>[\/vc_column_text][\/vc_column_inner][\/vc_row_inner]\n\t\t\t<\/div><\/div><\/div><\/div><div class=\"ult_acord advanced-tabs-desc-wrap-8056\">\r\n   <div class=\"ult-tabto-accordion \" style=\"width:;\"\r\n    data-titlecolor=\"#ffffff\"  data-titlebg=\"#808080\"\r\n     data-titlehoverbg=\"#ffffff\" data-titlehovercolor=\"#808080\" data-animation=\"Slide\"\r\n     data-activetitle=\"#ffffff\" data-activeicon=\"\" data-activebg=\"#f99d20\" data-scroll = \"on\" data-activeindex=\"1\" >\r\n     <dl><dt class=\"\">\r\n\t        \t<a class=\"ult-tabto-actitle withBorder ult_a \" id=\"1589891825736-3\" style=\"color:#ffffff;border-color:#ffffff;;background-color:#808080;border-bottom-color:transparent;border-bottom-width:0px;border-bottom-style:solid;\" href=\"#1589891825736-3\">\r\n\t        \t\t<i class=\"accordion-icon\"><\/i>\r\n\t        \t\t\t<span class=\"ult_tab_main ult_ac_main ult_noacordicnBoth\">\r\n\r\n\t\t\t\t\t\t<span  data-ultimate-target='#advanced-tabs-wrap-6616 .ult-span-text'  data-responsive-json-new='{\"font-size\":\"desktop:15px;\",\"line-height\":\"\"}'  class=\"ult-span-text no_icon ult_acordian-text ult-responsive\" style=\";color:inherit \" >Overview<\/span>\r\n\t\t\t\t\t\t<\/span><\/a><\/dt>\r\n\t            \t\t<dd class=\"ult-tabto-accordionItem ult-tabto-accolapsed\">\r\n\t\t\t\t            <div class=\"ult-tabto-acontent\" style=\"color:#74777b;\">\r\n\t\t\t\t               [vc_column_text]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.<\/p>\n<p>The qualification is a regulatory requirement by the Securities &amp; Commodity Authority for a number of job functions within financial services.<\/p>\n<h3>Who should study for this certificate?<\/h3>\n<ul>\n<li class=\"direction-ltr align-start ql-indent-1 list-marker-udisc para-style-body\">Fresh graduates or final year students and staffs looking to enter the investment industry<\/li>\n<li class=\"direction-ltr align-start ql-indent-1 list-marker-udisc para-style-body\">Staffs responsible for making investment decisions, including administration, finance and accounting, IT, customer service, sales and marketing and HR and training<\/li>\n<li class=\"direction-ltr align-start ql-indent-1 list-marker-udisc para-style-body\">New employees in brokerage, financial planning, investment advisory, wealth management and asset management industry.<\/li>\n<\/ul>\n<h3><span data-ccp-props=\"{}\">\u00a0<\/span><b><span data-contrast=\"none\">Learning Outcome<\/span><\/b><span data-ccp-props=\"{}\">\u00a0<\/span><\/h3>\n<p><span data-ccp-props=\"{}\">\u00a0<\/span><span data-contrast=\"auto\">Participants will <\/span><span data-contrast=\"auto\">gain an <\/span><span data-contrast=\"auto\">overview of the investment industry with a specific focus on securities and investments<\/span><span data-contrast=\"auto\">\u00a0<\/span><span data-ccp-props=\"{&quot;134233279&quot;:true}\">\u00a0<\/span><\/p>\n<ul>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"1\" data-aria-level=\"1\"><span data-contrast=\"auto\">Participants will <\/span><span data-contrast=\"auto\">gain an understanding of ethical conduct and <\/span><span data-contrast=\"auto\">market integrity in relation to the investment industry<\/span><span data-ccp-props=\"{&quot;134233279&quot;:true}\">\u00a0<\/span><\/li>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"2\" data-aria-level=\"1\"><span data-contrast=\"auto\">Participants will <\/span><span data-contrast=\"auto\">gain an overview of all the areas of international investments<\/span><span data-ccp-props=\"{&quot;134233279&quot;:true}\">\u00a0<\/span><\/li>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"3\" data-aria-level=\"1\"><span data-contrast=\"auto\">Participants will <\/span><span data-contrast=\"auto\">gain an <\/span><span data-contrast=\"auto\">overview <\/span><span data-contrast=\"auto\">of various financial <\/span><span data-contrast=\"auto\">principles and products<\/span><span data-ccp-props=\"{&quot;134233279&quot;:true}\">\u00a0<\/span><\/li>\n<\/ul>\n<h3><span data-ccp-props=\"{}\">\u00a0<\/span><b><span data-contrast=\"none\">Target Audience<\/span><\/b><span data-ccp-props=\"{}\">\u00a0<\/span><span data-ccp-props=\"{}\">\u00a0<\/span><\/h3>\n<ul>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"1\" data-aria-level=\"1\">Professionals who like to obtain a higher understanding of the UAE Rules and Regulations and work in the banking and financial services sectors<\/li>\n<\/ul>\n<h3>Why study for this certificate?<\/h3>\n<ul>\n<li>The qualification is a regulatory requirement by the Securities &amp; Commodity Authority for a number of job functions within financial services in the UAE.<\/li>\n<li>In CISI\u2019s qualification pathway, it can be taken as a stand-alone certificate or part of one of the CISI\u2019s qualifications.<\/li>\n<li>Candidates become associated with the rules and regulations of the financial industry in the UAE.<\/li>\n<\/ul>\n<h3>SCA Mandated Job Functions<\/h3>\n<ul>\n<li class=\"direction-ltr align-start ql-indent-1 list-marker-udisc para-style-body\">Broker Representative<\/li>\n<li class=\"direction-ltr align-start ql-indent-1 list-marker-udisc para-style-body\">Compliance Officer\/Anti-Money Laundering Officer\/ Internal Controller<\/li>\n<li>Trading Manager\/Operations<\/li>\n<li>Manager\/clearing Officer<\/li>\n<li>Risk Management Officer<\/li>\n<li>Promoter<\/li>\n<\/ul>\n<p>[\/vc_column_text]\r\n\t\t\t\t            <\/div>\r\n\t        \t\t\t<\/dd><dt class=\"\">\r\n\t        \t<a class=\"ult-tabto-actitle withBorder ult_a \" id=\"1589891825767-0\" style=\"color:#ffffff;border-color:#ffffff;;background-color:#808080;border-bottom-color:transparent;border-bottom-width:0px;border-bottom-style:solid;border-bottom-color:transparent;border-bottom-width:0px;border-bottom-style:solid;\" href=\"#1589891825767-0\">\r\n\t        \t\t<i class=\"accordion-icon\"><\/i>\r\n\t        \t\t\t<span class=\"ult_tab_main ult_ac_main ult_noacordicnBoth\">\r\n\r\n\t\t\t\t\t\t<span  data-ultimate-target='#advanced-tabs-wrap-6616 .ult-span-text'  data-responsive-json-new='{\"font-size\":\"desktop:15px;\",\"line-height\":\"\"}'  class=\"ult-span-text no_icon ult_acordian-text ult-responsive\" style=\";color:inherit \" >Course Outline<\/span>\r\n\t\t\t\t\t\t<\/span><\/a><\/dt>\r\n\t            \t\t<dd class=\"ult-tabto-accordionItem ult-tabto-accolapsed\">\r\n\t\t\t\t            <div class=\"ult-tabto-acontent\" style=\"color:#74777b;\">\r\n\t\t\t\t               [vc_row_inner][vc_column_inner width=&#8221;1\/2&#8243;][vc_column_text]<\/p>\n<h5>Chapter 1: The Regulatory Infrastructure<\/h5>\n<ul>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"3\" data-aria-level=\"1\">Federal Law No. 4 of 2000<\/li>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"3\" data-aria-level=\"1\">Securities &amp; Commodities Authority (SCA)<\/li>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"3\" data-aria-level=\"1\">SCA Resolutions<\/li>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"3\" data-aria-level=\"1\">Corporate Governance \u2013 (Law No. 3 issued Jan 2020)<\/li>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"3\" data-aria-level=\"1\">Codes of Conduct<\/li>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"3\" data-aria-level=\"1\">License Categories and Requirements<\/li>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"3\" data-aria-level=\"1\">Accounting System Controls<\/li>\n<\/ul>\n<h5>Chapter 2: Licensed Bodies<\/h5>\n<ul>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"1\" data-aria-level=\"1\">General Provisions<\/li>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"1\" data-aria-level=\"1\">Licensing Financial Activities<\/li>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"1\" data-aria-level=\"1\">Further License Applicant Requirements<\/li>\n<\/ul>\n<h5>Chapter 3: Investment Funds<\/h5>\n<ul>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"3\" data-aria-level=\"1\">Local Funds<\/li>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"3\" data-aria-level=\"1\">Provisions Specific to Certain Public Investment Funds<\/li>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"3\" data-aria-level=\"1\">Cash Investment Funds<\/li>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"3\" data-aria-level=\"1\">Exchange Traded Funds<\/li>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"3\" data-aria-level=\"1\">Real Estate Funds<\/li>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"3\" data-aria-level=\"1\">Evaluation of In-Kind Shares of Investment Funds<\/li>\n<\/ul>\n<h5>Chapter 4: Markets<\/h5>\n<ul>\n<li>The Central Depository<\/li>\n<li>Issuing and Offering Shares in Public Joint-Stock Companies<\/li>\n<li>Troubled Public Joint-Stock Companies<\/li>\n<li>Conciliation<\/li>\n<li>Debt Securities<\/li>\n<li>Islamic Securities<\/li>\n<li>Derivatives<\/li>\n<li>Crypto Assets<\/li>\n<\/ul>\n<p>[\/vc_column_text][\/vc_column_inner][vc_column_inner width=&#8221;1\/2&#8243;][vc_column_text]<\/p>\n<h5>Chapter 5: Anti-Money Laundering and Combating the Financing<br \/>\nof Terrorism and Illegal Organisations<\/h5>\n<ul>\n<li>Offences<\/li>\n<li>The Role of the Financial Services Industry<\/li>\n<li>Prohibitions<\/li>\n<li>Politically Exposed Persons (PEPs)<\/li>\n<li>Suspicious Transaction Reports (STRs)<\/li>\n<li>Practical Measures<\/li>\n<li>Record Keeping Requirements<\/li>\n<li>Penalties<\/li>\n<li>Market Abuse and Regulations in the UAE<\/li>\n<li>Conflicts of Interest Accepted Practice in the UAE<br \/>\n<h5>Chapter 6: Client Protection<\/h5>\n<ul>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"1\" data-aria-level=\"1\">Suitability Standards<\/li>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"2\" data-aria-level=\"1\">Appropriateness Standards<\/li>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"3\" data-aria-level=\"1\">Client Assets Accepted Practice in the UAE<\/li>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"4\" data-aria-level=\"1\">Client Communications, Reporting, Financial Promotions and<br \/>\nAdvertising<\/li>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"4\" data-aria-level=\"1\">Promoters and Introducers<\/li>\n<li aria-setsize=\"-1\" data-leveltext=\"\uf0a7\" data-font=\"Wingdings\" data-listid=\"3\" data-aria-posinset=\"4\" data-aria-level=\"1\">Regulations for Special Purpose Acquisition Companies<\/li>\n<\/ul>\n<h5>Chapter 7: Trading<\/h5>\n<ul>\n<li>Abu Dhabi Securities Market ADX<\/li>\n<li>Broker and Trading Rules of the ADX<\/li>\n<li>Clearing, Depository and Registry Rules<\/li>\n<li>Clearing in Commodities Markets<\/li>\n<li>Dubai Gold &amp; Commodities Exchange<\/li>\n<\/ul>\n<h5>Chapter 8: Dubai Financial Market (DFM)<\/h5>\n<ul>\n<li>Brokerage Firms<\/li>\n<li>Rules of Securities Trading in the DFM<\/li>\n<li>The Professional Code of Conduct (DFM)<\/li>\n<li>Online Trading Regulations (DFM)<\/li>\n<li>Order Types (DFM)<\/li>\n<li>Order Handling (DFM)<\/li>\n<\/ul>\n<\/li>\n<\/ul>\n<p>[\/vc_column_text][\/vc_column_inner][\/vc_row_inner]\r\n\t\t\t\t            <\/div>\r\n\t        \t\t\t<\/dd><dt class=\"\">\r\n\t        \t<a class=\"ult-tabto-actitle withBorder ult_a \" id=\"1589892086565-2-2\" style=\"color:#ffffff;border-color:#ffffff;;background-color:#808080;border-bottom-color:transparent;border-bottom-width:0px;border-bottom-style:solid;border-bottom-color:transparent;border-bottom-width:0px;border-bottom-style:solid;border-bottom-color:transparent;border-bottom-width:0px;border-bottom-style:solid;\" href=\"#1589892086565-2-2\">\r\n\t        \t\t<i class=\"accordion-icon\"><\/i>\r\n\t        \t\t\t<span class=\"ult_tab_main ult_ac_main ult_noacordicnBoth\">\r\n\r\n\t\t\t\t\t\t<span  data-ultimate-target='#advanced-tabs-wrap-6616 .ult-span-text'  data-responsive-json-new='{\"font-size\":\"desktop:15px;\",\"line-height\":\"\"}'  class=\"ult-span-text no_icon ult_acordian-text ult-responsive\" style=\";color:inherit \" >Schedule &amp; Fees<\/span>\r\n\t\t\t\t\t\t<\/span><\/a><\/dt>\r\n\t            \t\t<dd class=\"ult-tabto-accordionItem ult-tabto-accolapsed\">\r\n\t\t\t\t            <div class=\"ult-tabto-acontent\" style=\"color:#74777b;\">\r\n\t\t\t\t               [vc_row_inner][vc_column_inner width=&#8221;1\/2&#8243;][vc_column_text]<\/p>\n<div class=\"fees-box back-color\">\n<h5 class=\"color-white mb-0\">Fee Per participant<\/h5>\n<h3 class=\"color-white mb-0\">USD 375<\/h3>\n<\/div>\n<p style=\"text-align: center;\"><b>Fees is inclusive of VAT<\/b><\/p>\n<p>[\/vc_column_text][\/vc_column_inner][vc_column_inner width=&#8221;1\/2&#8243;][vc_column_text]<\/p>\n<p style=\"text-align: center;\">Language: English<\/p>\n<p>[\/vc_column_text][\/vc_column_inner][\/vc_row_inner]\r\n\t\t\t\t            <\/div>\r\n\t        \t\t\t<\/dd>\r\n    \t<\/dl>\r\n    <!--<div class=\"extraborder\" style=\"background-color:#ffffff\"><\/div>-->\r\n<\/div>\r\n\r\n<\/div>[\/vc_column][\/vc_row]<\/p>\n<\/div>","protected":false},"excerpt":{"rendered":"<p>[vc_row][vc_column][vc_empty_space height=&#8221;40px&#8221;][\/vc_column][\/vc_row]<\/p>\n","protected":false},"author":1,"featured_media":8542,"menu_order":10,"comment_status":"open","ping_status":"closed","template":"","class_list":["post-8399","dt_courses","type-dt_courses","status-publish","has-post-thumbnail","hentry","course_category-exam-prep"],"acf":[],"_links":{"self":[{"href":"https:\/\/emergingmarketft.com\/virtual_training\/wp-json\/wp\/v2\/dt_courses\/8399","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/emergingmarketft.com\/virtual_training\/wp-json\/wp\/v2\/dt_courses"}],"about":[{"href":"https:\/\/emergingmarketft.com\/virtual_training\/wp-json\/wp\/v2\/types\/dt_courses"}],"author":[{"embeddable":true,"href":"https:\/\/emergingmarketft.com\/virtual_training\/wp-json\/wp\/v2\/users\/1"}],"replies":[{"embeddable":true,"href":"https:\/\/emergingmarketft.com\/virtual_training\/wp-json\/wp\/v2\/comments?post=8399"}],"version-history":[{"count":5,"href":"https:\/\/emergingmarketft.com\/virtual_training\/wp-json\/wp\/v2\/dt_courses\/8399\/revisions"}],"predecessor-version":[{"id":10430,"href":"https:\/\/emergingmarketft.com\/virtual_training\/wp-json\/wp\/v2\/dt_courses\/8399\/revisions\/10430"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/emergingmarketft.com\/virtual_training\/wp-json\/wp\/v2\/media\/8542"}],"wp:attachment":[{"href":"https:\/\/emergingmarketft.com\/virtual_training\/wp-json\/wp\/v2\/media?parent=8399"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}