{"id":8403,"date":"2021-02-18T08:47:24","date_gmt":"2021-02-18T08:47:24","guid":{"rendered":"https:\/\/emergingmarketft.com\/virtual_training\/?post_type=dt_courses&#038;p=8403"},"modified":"2024-03-15T14:52:53","modified_gmt":"2024-03-15T14:52:53","slug":"cisi-cma-kuwait-rules-regulations","status":"publish","type":"dt_courses","link":"https:\/\/emergingmarketft.com\/virtual_training\/courses\/cisi-cma-kuwait-rules-regulations\/","title":{"rendered":"CISI &#8211; Kuwait CMA Rules &#038; Regulations"},"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-7047\" 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-7160 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-7160 .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-7160 .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-7160 .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-7047 .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]The Chartered Institute for Securities &amp; Investment (CISI) has developed the Kuwait Capital Markets Authority Rules and Regulations in collaboration with the Kuwait Capital Markets Authority (CMA). This program provides candidates with a high-level overview and understanding of the CMA rules and regulations that govern the firms and the employees within the CMA and effectively prepares them for the exam. During the program, candidates will be given practice questions and mock exams to successfully prepare them for the exam.<\/p>\n<div class=\"wpb_text_column wpb_content_element \">\n<div class=\"wpb_wrapper\">\n<h3>Why study for this certificate?<\/h3>\n<ul>\n<li>The qualification is a regulatory requirement by the Capital Market Authority for a number of job functions within financial services in Kuwait.<\/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 Kuwait.<\/li>\n<\/ul>\n<\/div>\n<\/div>\n<h3>Who should study for this certificate?<\/h3>\n<p>Individuals who want to be in Registered Employee Positions in Kuwait CMA should take this \u201cMandatory\u201d regulatory qualification.<\/p>\n<p><strong>CMA Mandated Job Functions:<\/strong><\/p>\n<ul>\n<li>Compliance Officer<\/li>\n<li>Risk Management Officer\/Internal Audit Officer<\/li>\n<li>Sharia Audit Officer<\/li>\n<li>Securities Broker<\/li>\n<li>Qualified Securities Broker<\/li>\n<li>Investment Advisor<\/li>\n<li>Investment Portfolio Manager<\/li>\n<li>Collective Investment Scheme Manager<\/li>\n<li>Investment Controller<\/li>\n<li>Subscription Agent<\/li>\n<li>Market Maker<\/li>\n<li>Senior Investment Advisor<\/li>\n<\/ul>\n<h3>Learning Outcomes<\/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\"><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 <\/span><span data-contrast=\"auto\">wealth and investment management<\/span><span data-contrast=\"auto\">\u00a0<\/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 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=\"3\" data-aria-level=\"1\"><span data-contrast=\"auto\">Participants will <\/span><span data-contrast=\"auto\">gain an overview of all the areas of <\/span><span data-contrast=\"auto\">wealth management<\/span><\/li>\n<\/ul>\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 <\/span><span data-contrast=\"auto\">overview <\/span><span data-contrast=\"auto\">of various <\/span><span data-contrast=\"auto\">private banking <\/span><span data-contrast=\"auto\">principles and products<\/span><span data-ccp-props=\"{&quot;134233279&quot;:true}\">\u00a0<\/span><\/li>\n<\/ul>\n<h3>Exam Details<\/h3>\n<p>The CISI CMA Kuwait Rules and Regulations exam consists of 75 questions (multiple choice) that needs to be completed in 1.5 hours.<\/p>\n<p><strong>Passing Grade:<\/strong> 70%<\/p>\n<p>The question weightage is as follows:<\/p>\n<ul>\n<li>Regulatory Structure &#8211;\u00a0<strong>8 questions<\/strong><\/li>\n<li>Securities Exchanges and Clearing Agencies &#8211; <strong>4 questions<\/strong><\/li>\n<li>Licensed Persons and Registered Persons &#8211; <strong>8 questions<\/strong><\/li>\n<li>Clients Funds&#8217; and Clients Assets&#8217; &#8211; <strong>8 questions<\/strong><\/li>\n<li>Conduct of Business &#8211; <strong>8 questions<\/strong><\/li>\n<li>Mergers and Acquisitions &#8211; <strong>3 questions<\/strong><\/li>\n<li>Disclosure and Transparency &#8211; <strong>6 questions<\/strong><\/li>\n<li>Dealing in Securities &#8211; <strong>5 questions<\/strong><\/li>\n<li>Listing Rules &#8211;\u00a0<strong>6 questions<\/strong><\/li>\n<li>Collective Investment Schemes &#8211; <strong>5 questions<\/strong><\/li>\n<li>Market Integrity &#8211;\u00a0<strong>8 questions<\/strong><\/li>\n<li>Corporate Governance &#8211; <strong>6 questions<\/strong><\/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: Regulatory Structure<\/h5>\n<ul>\n<li>The Capital Markets Authority<\/li>\n<li>Boards and Committees of the Authority<\/li>\n<li>Right to Request Information, Supervision, and Inspection<\/li>\n<li>Judicial Officers<\/li>\n<li>Crimes and Penalties<\/li>\n<li>Reporting Violations and Crimes<\/li>\n<li>Investigation<\/li>\n<li>Disciplinary Penalties<\/li>\n<\/ul>\n<h5>Chapter 2: Securities Exchanges and Clearing Agencies<\/h5>\n<ul>\n<li>Securities Exchanges<\/li>\n<li>Clearing Agencies<\/li>\n<\/ul>\n<h5>Chapter 3: Licensed Persons and Registered Persons<\/h5>\n<ul>\n<li>Licensed Securities Activities<\/li>\n<li>The Sharia Supervisory System<\/li>\n<li>Registered Persons<\/li>\n<li>Policies and Procedures for Licensed Persons<\/li>\n<li>Risk Management<\/li>\n<li>Clients&#8217; Complaints<\/li>\n<li>Business Continuity<\/li>\n<li>Risk Management<\/li>\n<li>Clients&#8217; Complaints<\/li>\n<li>Business Continuity<\/li>\n<\/ul>\n<h5><strong>Chapter 4: Clients &#8216;Funds and Clients&#8217; Assets<\/strong><\/h5>\n<ul>\n<li>Definitions and Requirements<\/li>\n<li>Rules of Securities Investment Portfolios<\/li>\n<li>Reporting Systems<\/li>\n<li>General Requirements and Controls -Investment Portfolio Management<\/li>\n<li>Default Events<\/li>\n<\/ul>\n<h5><strong>Chapter 5: Conduct of Business<\/strong><\/h5>\n<ul>\n<li>General Provisions<\/li>\n<li>Client Categorization<\/li>\n<li>Conflicts of Interest<\/li>\n<li>Best Execution of Client Orders<\/li>\n<li>Clients Records<\/li>\n<li>Financial Promotions<\/li>\n<li>Investment Research<\/li>\n<\/ul>\n<h5><strong>Chapter 6: Mergers &amp; Acquisitions<\/strong><\/h5>\n<ul>\n<li>Mergers<\/li>\n<li>Acquisitions<\/li>\n<li>Mergers<\/li>\n<li>Acquisitions<\/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 7: Disclosure &amp; Transparency<\/h5>\n<ul>\n<li>Obligations for Listed Companies and Exchanges<\/li>\n<li>Disclosure of Interests<\/li>\n<li>Insiders<\/li>\n<li>Disclosure of Material Information<\/li>\n<\/ul>\n<h5>Chapter 8: Dealing in Securities<\/h5>\n<ul>\n<li>Issuing and Offering Securities<\/li>\n<li>Subscription Procedures<\/li>\n<li>Allocation and Registration<\/li>\n<li>Trading in Securities<\/li>\n<li>Rules of Sukuk<\/li>\n<li>Rules of Bonds<\/li>\n<li>Preferred Shares<\/li>\n<li>Treasury Shares<\/li>\n<\/ul>\n<h5>Chapter 9: Listing Rules<\/h5>\n<ul>\n<li>Listing Applications<\/li>\n<li>Listing Shares of Shareholding Companies<\/li>\n<li>Listing Shares of Kuwaiti Companies in Exchanges Outside the State of Kuwait<\/li>\n<li>Delisting of Shares of Shareholding Companies<\/li>\n<li>Listing of Bonds and Sukuk<\/li>\n<\/ul>\n<h5>Chapter 10: Collective Investment Schemes<\/h5>\n<ul>\n<li>General Provisions<\/li>\n<li>Funds<\/li>\n<li>Service Providers<\/li>\n<li>Marketing and Selling Units<\/li>\n<li>Valuation, Subscription and Redemption<\/li>\n<li>Restrictions and Controls<\/li>\n<li>Reporting Requirements<\/li>\n<li>Unitholders Assembly and Ending of a Fund<\/li>\n<li>Contractual Collective Investment Schemes<\/li>\n<\/ul>\n<h5>Chapter 11: Market Integrity<\/h5>\n<ul>\n<li>Insider Trading<\/li>\n<li>Fraud and Manipulation in the Exchange<\/li>\n<li>Anti-Money Laundering and Combating Financing of Terrorism<\/li>\n<li>Client Records<\/li>\n<li>Suspicious Transactions Reporting<\/li>\n<li>Continuing Obligations<\/li>\n<\/ul>\n<h5><strong>Chapter 12: Corporate Governance<\/strong><\/h5>\n<ul>\n<li>Corporate Governance Role<\/li>\n<li>Regulatory Requirements<\/li>\n<li>Constructing a Balanced Board<\/li>\n<li>Appropriate Roles and Responsibilities<\/li>\n<li>Safeguarding the Integrity of Financial Reporting<\/li>\n<li>Sound Systems of Risk Management and Internal Audit<\/li>\n<li>Ethical Standards<\/li>\n<li>Disclosure and Transparency<\/li>\n<li>Stakeholders<\/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 css=&#8221;.vc_custom_1601539071405{margin-top: 15px !important;}&#8221;][vc_column_inner width=&#8221;1\/2&#8243; css=&#8221;.vc_custom_1601539877389{margin-top: 0px !important;background-position: center !important;background-repeat: no-repeat !important;background-size: cover !important;border-radius: 20px !important;}&#8221;][vc_column_text css=&#8221;.vc_custom_1634014728517{border-radius: 3px !important;}&#8221; el_class=&#8221;border-info&#8221;]<\/p>\n<div class=\"fees-box back-color\">\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 750<\/h3>\n<\/div>\n<p style=\"text-align: center;\"><b>Fees + VAT is applicable<\/b><\/p>\n\n<\/div>\n<p>[\/vc_column_text][\/vc_column_inner][vc_column_inner width=&#8221;1\/2&#8243; css=&#8221;.vc_custom_1601540379429{margin-top: 0px !important;}&#8221;][vc_column_text el_class=&#8221;border-info&#8221;]<\/p>\n<h3 style=\"text-align: center;\">Dates &amp; Times<\/h3>\n<h4 style=\"text-align: center;\"> 2024<\/h4>\n<p style=\"text-align: center;\"><\/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-7047\">\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-7160 .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]The Chartered Institute for Securities &amp; Investment (CISI) has developed the Kuwait Capital Markets Authority Rules and Regulations in collaboration with the Kuwait Capital Markets Authority (CMA). This program provides candidates with a high-level overview and understanding of the CMA rules and regulations that govern the firms and the employees within the CMA and effectively prepares them for the exam. During the program, candidates will be given practice questions and mock exams to successfully prepare them for the exam.<\/p>\n<div class=\"wpb_text_column wpb_content_element \">\n<div class=\"wpb_wrapper\">\n<h3>Why study for this certificate?<\/h3>\n<ul>\n<li>The qualification is a regulatory requirement by the Capital Market Authority for a number of job functions within financial services in Kuwait.<\/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 Kuwait.<\/li>\n<\/ul>\n<\/div>\n<\/div>\n<h3>Who should study for this certificate?<\/h3>\n<p>Individuals who want to be in Registered Employee Positions in Kuwait CMA should take this \u201cMandatory\u201d regulatory qualification.<\/p>\n<p><strong>CMA Mandated Job Functions:<\/strong><\/p>\n<ul>\n<li>Compliance Officer<\/li>\n<li>Risk Management Officer\/Internal Audit Officer<\/li>\n<li>Sharia Audit Officer<\/li>\n<li>Securities Broker<\/li>\n<li>Qualified Securities Broker<\/li>\n<li>Investment Advisor<\/li>\n<li>Investment Portfolio Manager<\/li>\n<li>Collective Investment Scheme Manager<\/li>\n<li>Investment Controller<\/li>\n<li>Subscription Agent<\/li>\n<li>Market Maker<\/li>\n<li>Senior Investment Advisor<\/li>\n<\/ul>\n<h3>Learning Outcomes<\/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\"><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 <\/span><span data-contrast=\"auto\">wealth and investment management<\/span><span data-contrast=\"auto\">\u00a0<\/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 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=\"3\" data-aria-level=\"1\"><span data-contrast=\"auto\">Participants will <\/span><span data-contrast=\"auto\">gain an overview of all the areas of <\/span><span data-contrast=\"auto\">wealth management<\/span><\/li>\n<\/ul>\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 <\/span><span data-contrast=\"auto\">overview <\/span><span data-contrast=\"auto\">of various <\/span><span data-contrast=\"auto\">private banking <\/span><span data-contrast=\"auto\">principles and products<\/span><span data-ccp-props=\"{&quot;134233279&quot;:true}\">\u00a0<\/span><\/li>\n<\/ul>\n<h3>Exam Details<\/h3>\n<p>The CISI CMA Kuwait Rules and Regulations exam consists of 75 questions (multiple choice) that needs to be completed in 1.5 hours.<\/p>\n<p><strong>Passing Grade:<\/strong> 70%<\/p>\n<p>The question weightage is as follows:<\/p>\n<ul>\n<li>Regulatory Structure &#8211;\u00a0<strong>8 questions<\/strong><\/li>\n<li>Securities Exchanges and Clearing Agencies &#8211; <strong>4 questions<\/strong><\/li>\n<li>Licensed Persons and Registered Persons &#8211; <strong>8 questions<\/strong><\/li>\n<li>Clients Funds&#8217; and Clients Assets&#8217; &#8211; <strong>8 questions<\/strong><\/li>\n<li>Conduct of Business &#8211; <strong>8 questions<\/strong><\/li>\n<li>Mergers and Acquisitions &#8211; <strong>3 questions<\/strong><\/li>\n<li>Disclosure and Transparency &#8211; <strong>6 questions<\/strong><\/li>\n<li>Dealing in Securities &#8211; <strong>5 questions<\/strong><\/li>\n<li>Listing Rules &#8211;\u00a0<strong>6 questions<\/strong><\/li>\n<li>Collective Investment Schemes &#8211; <strong>5 questions<\/strong><\/li>\n<li>Market Integrity &#8211;\u00a0<strong>8 questions<\/strong><\/li>\n<li>Corporate Governance &#8211; <strong>6 questions<\/strong><\/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-7160 .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: Regulatory Structure<\/h5>\n<ul>\n<li>The Capital Markets Authority<\/li>\n<li>Boards and Committees of the Authority<\/li>\n<li>Right to Request Information, Supervision, and Inspection<\/li>\n<li>Judicial Officers<\/li>\n<li>Crimes and Penalties<\/li>\n<li>Reporting Violations and Crimes<\/li>\n<li>Investigation<\/li>\n<li>Disciplinary Penalties<\/li>\n<\/ul>\n<h5>Chapter 2: Securities Exchanges and Clearing Agencies<\/h5>\n<ul>\n<li>Securities Exchanges<\/li>\n<li>Clearing Agencies<\/li>\n<\/ul>\n<h5>Chapter 3: Licensed Persons and Registered Persons<\/h5>\n<ul>\n<li>Licensed Securities Activities<\/li>\n<li>The Sharia Supervisory System<\/li>\n<li>Registered Persons<\/li>\n<li>Policies and Procedures for Licensed Persons<\/li>\n<li>Risk Management<\/li>\n<li>Clients&#8217; Complaints<\/li>\n<li>Business Continuity<\/li>\n<li>Risk Management<\/li>\n<li>Clients&#8217; Complaints<\/li>\n<li>Business Continuity<\/li>\n<\/ul>\n<h5><strong>Chapter 4: Clients &#8216;Funds and Clients&#8217; Assets<\/strong><\/h5>\n<ul>\n<li>Definitions and Requirements<\/li>\n<li>Rules of Securities Investment Portfolios<\/li>\n<li>Reporting Systems<\/li>\n<li>General Requirements and Controls -Investment Portfolio Management<\/li>\n<li>Default Events<\/li>\n<\/ul>\n<h5><strong>Chapter 5: Conduct of Business<\/strong><\/h5>\n<ul>\n<li>General Provisions<\/li>\n<li>Client Categorization<\/li>\n<li>Conflicts of Interest<\/li>\n<li>Best Execution of Client Orders<\/li>\n<li>Clients Records<\/li>\n<li>Financial Promotions<\/li>\n<li>Investment Research<\/li>\n<\/ul>\n<h5><strong>Chapter 6: Mergers &amp; Acquisitions<\/strong><\/h5>\n<ul>\n<li>Mergers<\/li>\n<li>Acquisitions<\/li>\n<li>Mergers<\/li>\n<li>Acquisitions<\/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 7: Disclosure &amp; Transparency<\/h5>\n<ul>\n<li>Obligations for Listed Companies and Exchanges<\/li>\n<li>Disclosure of Interests<\/li>\n<li>Insiders<\/li>\n<li>Disclosure of Material Information<\/li>\n<\/ul>\n<h5>Chapter 8: Dealing in Securities<\/h5>\n<ul>\n<li>Issuing and Offering Securities<\/li>\n<li>Subscription Procedures<\/li>\n<li>Allocation and Registration<\/li>\n<li>Trading in Securities<\/li>\n<li>Rules of Sukuk<\/li>\n<li>Rules of Bonds<\/li>\n<li>Preferred Shares<\/li>\n<li>Treasury Shares<\/li>\n<\/ul>\n<h5>Chapter 9: Listing Rules<\/h5>\n<ul>\n<li>Listing Applications<\/li>\n<li>Listing Shares of Shareholding Companies<\/li>\n<li>Listing Shares of Kuwaiti Companies in Exchanges Outside the State of Kuwait<\/li>\n<li>Delisting of Shares of Shareholding Companies<\/li>\n<li>Listing of Bonds and Sukuk<\/li>\n<\/ul>\n<h5>Chapter 10: Collective Investment Schemes<\/h5>\n<ul>\n<li>General Provisions<\/li>\n<li>Funds<\/li>\n<li>Service Providers<\/li>\n<li>Marketing and Selling Units<\/li>\n<li>Valuation, Subscription and Redemption<\/li>\n<li>Restrictions and Controls<\/li>\n<li>Reporting Requirements<\/li>\n<li>Unitholders Assembly and Ending of a Fund<\/li>\n<li>Contractual Collective Investment Schemes<\/li>\n<\/ul>\n<h5>Chapter 11: Market Integrity<\/h5>\n<ul>\n<li>Insider Trading<\/li>\n<li>Fraud and Manipulation in the Exchange<\/li>\n<li>Anti-Money Laundering and Combating Financing of Terrorism<\/li>\n<li>Client Records<\/li>\n<li>Suspicious Transactions Reporting<\/li>\n<li>Continuing Obligations<\/li>\n<\/ul>\n<h5><strong>Chapter 12: Corporate Governance<\/strong><\/h5>\n<ul>\n<li>Corporate Governance Role<\/li>\n<li>Regulatory Requirements<\/li>\n<li>Constructing a Balanced Board<\/li>\n<li>Appropriate Roles and Responsibilities<\/li>\n<li>Safeguarding the Integrity of Financial Reporting<\/li>\n<li>Sound Systems of Risk Management and Internal Audit<\/li>\n<li>Ethical Standards<\/li>\n<li>Disclosure and Transparency<\/li>\n<li>Stakeholders<\/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-7160 .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 css=&#8221;.vc_custom_1601539071405{margin-top: 15px !important;}&#8221;][vc_column_inner width=&#8221;1\/2&#8243; css=&#8221;.vc_custom_1601539877389{margin-top: 0px !important;background-position: center !important;background-repeat: no-repeat !important;background-size: cover !important;border-radius: 20px !important;}&#8221;][vc_column_text css=&#8221;.vc_custom_1634014728517{border-radius: 3px !important;}&#8221; el_class=&#8221;border-info&#8221;]<\/p>\n<div class=\"fees-box back-color\">\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 750<\/h3>\n<\/div>\n<p style=\"text-align: center;\"><b>Fees + VAT is applicable<\/b><\/p>\n\n<\/div>\n<p>[\/vc_column_text][\/vc_column_inner][vc_column_inner width=&#8221;1\/2&#8243; css=&#8221;.vc_custom_1601540379429{margin-top: 0px !important;}&#8221;][vc_column_text el_class=&#8221;border-info&#8221;]<\/p>\n<h3 style=\"text-align: center;\">Dates &amp; Times<\/h3>\n<h4 style=\"text-align: center;\"> 2024<\/h4>\n<p style=\"text-align: center;\"><\/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":7863,"menu_order":12,"comment_status":"closed","ping_status":"closed","template":"","class_list":["post-8403","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\/8403","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=8403"}],"version-history":[{"count":6,"href":"https:\/\/emergingmarketft.com\/virtual_training\/wp-json\/wp\/v2\/dt_courses\/8403\/revisions"}],"predecessor-version":[{"id":8560,"href":"https:\/\/emergingmarketft.com\/virtual_training\/wp-json\/wp\/v2\/dt_courses\/8403\/revisions\/8560"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/emergingmarketft.com\/virtual_training\/wp-json\/wp\/v2\/media\/7863"}],"wp:attachment":[{"href":"https:\/\/emergingmarketft.com\/virtual_training\/wp-json\/wp\/v2\/media?parent=8403"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}