CISI – UAE Financial Rules & Regulations

UAE, Dubai - Office Number 620, Al Attar Business Centre, Beside ibis Hotel, Al Barsha 1 Near Sharaf DG Metro Station, Sheikh Zayed Road, Dubai, UAE
Dates flexible (30 hours)
Course Type
Professional Training Course
Course Fee
$1,225 $817 only

Special prices available

Course Overview

Regulatory infrastructure of SCA including functioning, Administration, Incorporation, Laws relating to Brokers, Objectives and Powers of SCA, Clearing & Settlement, Disclosure requirements, Penalties, Listing requirements, Regulations pertaining to Securities and Commodities Markets, Corporate Governance, Brokers Regulations, Financial Products, Market Activities, Anti-Money Laundering in UAE, Accepted Practices, Clients Protection, Trading Laws etc.

Who should take this course

• 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 • SCA-UAE licensing regime mandates this qualification for: - Broker Representative - Compliance Officer, Anti-Money Laundering Officer - - Internal Controller - Operations Manager, - Financial Analysts - Trading Manager - Chief Investment Officers, - Investment Managers
- Risk Management Officer

Course content

The objective of the examination is to ensure candidates have a basic knowledge of the regulations and legislation underpinning the financial markets and the conduct of investment business in the United Arab Emirates. The examination will test candidates’ knowledge and understanding of the following elements: • The Regulatory Infrastructure • Associated Market and Securities Legislation and Practice • Authorized Persons • Markets • Market Conduct Legislation and Regulation • Client Protection • Trading

About Course Provider

Elegant Professional and Management Development is a leading training center in Dubai, U.A.E. We specialize in affordable and effective face-to-face training in variety of courses to meet the needs of the today’s business.

We design and customize courses and programmes for people of different walks and professions like Engineering, IT, Finance, Sales & Marketing and HR & Administration, whether trying to enter into the job market or employees willing to achieve professional development and qualification to secure advancement in their careers and improve their performance level.

Our training is stretching, motivating and tailored to the individual learner. We develop and deliver training courses for organizations across all sectors. All of our courses can be tailored specifically to your team’s needs and delivered at your site as well.

We also run a range of courses for individuals at our training centre enabling delegates to get out of the office so they can network with other learners, build their skills and confidence, and practice in a safe learning environment.

How to enroll?

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