Exam Preparation for UAE Financial Rules & Regulations – CISI

Locations: Online

Prepare to excel in the dynamic world of finance with this specialized Exam Preparation Course for UAE Financial Rules & Regulations, designed to help professionals and aspiring individuals build a strong foundation for the CISI certification.

This preparatory course focuses on the regulatory framework governing financial markets and investment businesses in the UAE, equipping participants with the knowledge and confidence needed to face the examination.

The course covers key topics, including regulatory infrastructure, licensed bodies, investment funds, markets, anti-money laundering, client protection, trading, and the Dubai Financial Market (DFM). Delivered with a structured and guided approach, the program ensures participants develop a solid understanding of these critical concepts

Targeted Industry

Wealth Management
Investment Banking
Asset Management
Financial Advisory
Planning
Hedge Funds
Private Equity
Corporate Finance
Retail and Commercial Banks
Insurance and Risk Management
Financial Consultancy

Targeted Audience

Retail and Commercial Bankers
Financial Advisors
Wealth Managers
Investment Analysts
Portfolio Managers
Fund Managers
Private Bankers
Financial Planners

Course Outline

Regulatory Framework (Federal Law No. 4 of 2000, SCA Resolutions, Corporate Governance, License categories and requirements)
Licensed Bodies (General provisions, Licensing financial activities, Capital market institutions requirements)
Investment Funds (Local funds, Public Investment Funds, Evaluation of In-Kind Shares)
Markets (Central Depository, Issuing and Offering Shares, Troubled Joint-Stock Companies, Debt Securities, Crypto Assets)
AML & CFT (Offences, PEPS, STRS, Practical Measures, Record Keeping, Penalties, Market Abuse)
Client Protection (Suitability and Appropriateness Standards, Client Assets, Communications, Special Purpose Acquisition Companies Regulations)
Trading (Abu Dhabi Securities Market, Broker Rules, Clearing Operations, Dubai Gold & Commodities Exchange)
DFM (Brokerage Firms, Securities Trading Rules, Code of Conduct, Online Trading Regulations)

Course Details:

Fees: AED 1500 (Inclusive of VAT)
Date: April 04 to May 13, 2025
Mode of Training: Online/Crowe UAE Academy
Language: English.

Trainers:
Our trainers bring decades of experience in financial services, compliance, and corporate governance:

Mr. Pijush Kanti Das: A seasoned banker with over 30 years of experience in treasury management and compliance. He is an associate member and is certified by CISI.
Dr. Mahmoud Abdul Karim: A bilingual expert with extensive experience in corporate finance, training, and financial modelling. He is also an associate member and is certified by CISI.

How to Register?
To register, simply fill out the attached form.

For Registration

Dawn Thomas

Partner - Governance Risk & Compliance

009714 447 3951

Read full CV

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Pijush Das

Director, Crowe UAE Academy

009714 447 3951

Read full CV

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