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CISI - UAE Financial Rules and Regulations
Element 1 - The Regulatory Infrastructure
1.1 Federal Law No. 4 of 2000
1.2 Securities & Commodities Authority (SCA)
Element 2 - Associated Market and Securities Legislation and Practice
2.1 SCA Resolutions
2.2 Corporate Governance
Element 3 - Authorised Persons
3.1 Brokers' Regulations
Element 4 - Markets
4.1 General Backround
4.2 Disclosure and Transparency
4.3 Market Activites
4.4 Listing
Element 5 - Market Conduct Legislation and Regulations
5.1 Anti-Money Laundering in the UAE
5.2 Money Laundering Legislation - accepted practice in the UAE
5.3 Market Abuse and Market Conduct Legislation - accepted practice in the UAE
5.4 Insider Dealing Legislation - accepted practice in the UAE
5.5 Inducements Legislation - accepted practice in the UAE
5.6 Conflicts of Interest - accepted practice in the UAE
- Taught by a leading CISI trainer with a combination of practitioner and training experience
- Limited class sizes, to ensure interactive teaching environment
