Key Details

Duration: Self-Paced
Delivery: Distance Learning

Overview

This study course covers the syllabus for the Chartered Institute for Securities and Investments UAE Financial Rules and Regulations examination.Your training optionsDistance Learning - individuals can now access the same world-class, CISI exam-based training, usually only accessible to firms booking private training for their staff. Details can be found in...

This study course covers the syllabus for the Chartered Institute for Securities and Investments UAE Financial Rules and Regulations examination.

Your training options

  • Distance Learning - individuals can now access the same world-class, CISI exam-based training, usually only accessible to firms booking private training for their staff. Details can be found in the distance learning tab.
  • Inhouse - for companies looking to train more than 5 staff, we offer bespoke training programmes which can include live tutorials, additional exam practice and our distance learning platform. Contact us for a quote.

Who is this for?

This course is appropriate for all staff working within the UAE who would like to obtain a greater understanding of the UAE rules and regulations.

This paper can be taken as a standalone qualification or part of one of the CISI's programmes. In addition, the SCA Licensing Regime requires the following Job Functions to pass this qualification:

  • Trading Manager
  • Broker
  • Operations Manager
  • Internal Controller
  • Financial Analyst

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 (SCA resolution 2000-1 dated 8 April 2000, as amended by resolutions 2003-95, 2006-12, 2006-13 and 2006-176)

Element 4 Markets

  • 4.1 General background
  • 4.2 Disclosure and Transparency SCA resolution 2000-3 dated 5 November 2000, as amended by 2004-75, 2005-63 and 2005-155
  • 4.3 Market Activities
  • 4.4 Listing

Element 5 Market Conduct Legislation and Regulation

  • 5.1 Anti-Money Laundering in the UAE
  • 5.2 Money Laundering accepted practice in UAE
  • 5.3 Market Abuse and Market Conduct accepted practice in the UAE
  • 5.4 Insider Dealing accepted practice in the UAE
  • 5.5 Inducements accepted practice in the UAE
  • 5.6 Conflicts of Interest accepted practice in the UAE

Element 6 Client Protection

  • 6.1 Client Identification accepted practice in the UAE
  • 6.2 Client Classification accepted practice in the UAE
  • 6.3 Client Assets accepted practice in the UAE
  • 6.4 Client Communications, Reporting, Financial Promotions and Advertising accepted practice in the UAE
  • 6.5 Arbitration of Disputes (SCA resolution 2001-1 dated 5 February 2001)

Element 7 Trading

  • 7.1 Abu Dhabi Securities Market ADX
  • 7.2 Commodities
  • 7.3 Dubai Financial Market

Our CISI Distance Learning Solution provides students with a range of study aids to help them effectively prepare for their chosen CISI exam.

The solution comprises of the following elements:

  • CISI Distance Learning Platform
    • Study plan - A study timeline
    • CISI workbook - The official workbook published by the CISI
    • Audio tutorials - Bite-size recordings from one of our leading CISI trainers, narrating the key points of each chapter using the slide summaries. Students can watch these as and when they wish.
    • Chapter tests - 10 multiple choice questions drawn from each individual chapter of the workbook delivered online after each chapter.
    • Practice mock exam - As in the real exam, a multiple-choice exam appropriately spread across the syllabus/workbook chapters. Students will be able to review their answers and repeat the exam as many times as they like.
    • Exam readiness mock exam - A multiple-choice exam designed to assess the student’s readiness to sit the real exam.
    • Email support - The ability for students to email our CISI tutor team directly with any concerns or needs for further clarification.

Our inhouse CISI study programmes can be tailored to your Firm's requirements, and the ability of the audience preparing for CISI exams.

Face to face or live virtual training
Our recommended approach includes face to face or live virtual training with one of our CISI expert trainers who will guide participants through the syllabus in a structured, engaging and interactive manner.

Practice tests and mock exams
Our training days commence with a ‘kick-off’ test, testing the participants on their existing capabilities, and finish with a ‘progress’ test assessing their progress on the days topics.

As part of our inhouse CISI study programmes, participants have access to our Distance Learning Platform which includes guided tutorials, chapter by chapter practice questions and a mock exam that simulates the real CISI examination.

These tools provide valuable feedback and monitoring to track the participants’ performance throughout the study programme and are vital in effectively preparing participants for success in their CISI exam.