Key Details

Duration: 2 Days

Delivery method: In-house or Distance Learning

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

The Regulatory Infrastructure

  • Federal Law No. 4 of 2000
  • Securities & Commodities Authority (SCA)

Associated Market and Securities Legislation and Practice

  • SCA Resolutions
  • Corporate Governance

Authorised Persons

  • Brokers (SCA resolution 2000-1 dated 8 April 2000, as amended)

Markets

  • General Background
  • Disclosure and Transparency
  • Market Activities
  • Listing

Market Conduct Legislation and Regulations

  • Anti-Money Laundering in the UAE
  • Money Laundering Legislation - accepted practice in the UAE
  • Market Abuse and Market Conduct Legislation - accepted practice in the UAE
  • Insider Dealing Legislation - accepted practice in the UAE
  • Inducements Legislation - accepted practice in the UAE
  • Conflicts of Interest - accepted practice in the UAE

Client Protection

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

Trading

  • Abu Dhabi Securities Market ADX
  • Commodities

Our classroom training is delivered in-house and can be tailored to your Firm's requirements and the ability of the audience preparing for CISI exams.

Face to face training
Our recommended approach includes face to face 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 face to face 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 in-house CISI study programmes, participants have access to 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.

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 is a cost-effective alternative to classroom training and provides students with the added benefit of empowering them to set their study timetable, whilst providing L&D with regular feedback on their study progress.

The solution comprises of the following elements:

  • Study plan - A study timeline
  • CISI workbook - The official workbook published by the CISI
  • Slide summaries - Focused summaries of each chapter of the workbook
  • Online 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.