The Securities & Commodities Authority (SCA) mandatory qualification and licensing regime will require individuals to follow a designated series of CISI exams according to the job function they are in. Below sets out the various modules each job function of a brokerage firm will be required to take.

The CISI & SCA have created a Frequently Asked Questions sheet  and a Guide to Booking your Exam to assist you with your enquiries.

Broker

1. International Introduction to Investment Award
2. The UAE Financial Rules & Regulations Paper
3. The Securities Paper

Trading Manager

1. International Introduction to Investment Award
2. The UAE Financial Rules & Regulations Paper
3. The Securities Paper
4. Operational Risk Paper OR Risk in Financial Services Paper

Operations Manager

1. International Introduction to Investment Award
2. The UAE Financial Rules & Regulations Paper
3. The Securities Paper
4. Operational Risk Paper OR Risk in Financial Services Paper

Internal Controller

1. International Introduction to Investment Award
2. The UAE Financial Rules & Regulations Paper
3. The Securities Paper
4. Operational Risk Paper OR Risk in Financial Services Paper

Financial Analyst

1. The UAE Financial Rules & Regulations Paper
2. The Securities Paper
3. Operational Risk Paper OR Risk in Financial Services Paper
4. International Investment Management Paper