CISI – UAE Financial Rules & Regulations

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.

• 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

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

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