Developed in collaboration with the Qatar Financial Markets Authority, this exam can be used as the regulatory unit in the CISI’s Investment Operations Certificate (IOC) or Certificate programme.
It will provide candidates with an introduction to the Qatar Financial Markets Authority’s Financial Services Rulebook.
- Licensing conditions and procedures
- Approved persons
- Regulated functions
- The approval process
- The international regulatory environment
Conduct of Business
- Codes of conduct
- Client relationships
- Fundamental principles to be observed by approved individuals
- Reports and records
- Information made available by a Company to a client
- Information made available by a client to a Company
- Compliance Officer
- Distribution of responsibilities
- Resources & Controls
- Monitoring Compliance
- Risk Management
- Personal account dealing
- Managing Compliance risk
Managing the Risk of Financial Crime
- Anti-Money Laundering and Combating Terrorist Financing Rules 2010
- Branches and Agents of a Company
- International expansion
- Suspension, Modification and Cancellation of the licence
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
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.