Overview

This study course covers the syllabus for the Chartered Institute for Securities and Investments UAE Financial Rules and Regulations examination. The course is structured around the examination syllabus, interspersed with questions and exercises. The course provides focused coverage of the exam syllabus, plenty of tips and techniques for dealing with...

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

The course is structured around the examination syllabus, interspersed with questions and exercises. The course provides focused coverage of the exam syllabus, plenty of tips and techniques for dealing with the actual exam plus the opportunity to gain vital question practice.

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)

Element 4 - Markets
4.1 General Background
4.2 Disclosure and Transparency
4.3 Market Activities
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

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
6.1 Abu Dhabi Securities Market ADX
6.2 Commodities