Key Details

Duration: 2 Days

Available: In-House only

Overview

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.

Element 1 - Licensed activities
1.1 Licensing conditions and procedures
1.2 Approved persons
1.3 Regulated functions
1.4 The approval process
1.5 The international regulatory environment

Element 2 - Conduct of Business
2.1 Codes of conduct
2.2 Client relationships
2.3 Fundamental principles to be observed by approved individuals

Element 3 - Information requirements
3.1 Reports and records
3.2 Information made available by a Company to a client
3.3 Information made available by a client to a Company

Element 4 - Internal controls
4.1 Compliance Officer
4.2 Distribution of responsibilities
4.3 Resources & Controls
4.4 Monitoring Compliance
4.5 Risk Management
4.6 Personal account dealing
4.7 Managing Compliance risk

Element 5 - Managing the Risk of Financial Crime
5.1 Anti-Money Laundering and Combating Terrorist Financing Rules 2010

Element 6 - Business development
6.1 Branches and Agents of a Company
6.2 Custodians
6.3 Outsourcing
6.4 International expansion
6.5 Suspension, Modification and Cancellation of the licence