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International Introduction Risk in Financial Services to Investments · Principles of the Risk Management

· Introduction · Economic Environment · Financial Assets and Markets · Equities · Bonds · Derivatives · Investment Funds · Financial Services Regulation · Other Financial Products · Taxation and Trusts Framework · Corporate Governance and Risk Oversight · Risk-Related Regulation and Policy in Financial Services · Operational Risk · Credit Risk · Market Risk · Investment Risk · Liquidity Risk · Enterprise Risk Management (ERM)

About the CISI

Our Mission....

"

To set standards of professional excellence and integrity for the investment and securities industry, providing qualifications and promoting the highest level of competence to our members, other individuals and firms. Her Majesty the Queen signed the Charter formally creating the Chartered Institute for Securities & Investment (CISI). Royal Charters are granted to bodies that work in the public interest and demonstrate pre-eminence, stability and permanence in their particular field. The Institute has established a strong reputation for its work in helping practitioners achieve and maintain professional competence and the highest standards of integrity, in one of the world's highest-profile industries. The CISI has been particularly important as a springboard for young professionals across Europe, the Middle East and Asia to become some of the best and brightest in this highly competitive business. 42,000 exams taken in 68 countries 40,000 members in 89 countries

The UAE Financial Rules and Regulations

· The Regulatory Infrastructure

· Associated Market and Securities Legislation and Practice · Authorised Persons · Markets · Market Conduct Legislation and Regulation · Client Protection · Trading

Operational Risk

· Risk Basics; Other Major Risks · The Nature of Operational Risk · The Causes, Events and Impact of Operational Risk · Operational Risks Arising in the Trade Cycle · The Support and Control Functions · Enterprise Risk Management (ERM) · Achieving Common Standards and Protection

"

SCA CISI

Qualifications-led Licensing Regime

&

Global Securities

· Securities · New issues · Primary and secondary markets · Settlement · Accounting analysis · Risk and reward

International Investment Management

· Economics · Financial Mathematics and Statistics · Industry Regulation · Asset Classes · Financial Markets · Accounting · Investment Analysis · Taxation · Portfolio Management · Performance Management

CISI Events in the UAE

The importance of maintaining competence and professionalism throughout a career has never been more important. Continuing Professional Development (CPD) is at the heart of the Institute's values and policies and is the key part of the ongoing development of human capital. As the CISI's membership base grows in the region, our members can enjoy an increasing number of professional benefits. The CISI has constructed a programme of CPD events in both Dubai and Abu Dhabi that covers a range of topics in the financial services industry.

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This qualifications programme is one of the cornerstones in the SCA's campaign to ensure that the UAE's regulatory regime meets the highest global standards of rigour and transparency. Our partnership with the CISI confirms the paramount importance of professionalism and integrity to the investment community in the UAE, clients and

Strategic Alliances

practitioners alike.

Abdulla Alturifi, Chief Executive Officer, SCA

© 04/2012 SCA & CISI

See cisi.org/uae for more information on forthcoming events.

Exam Details:

Multiple-choice questions (four options) 50 questions in one hour or 100 questions in 2 hours 70% pass mark Computer based testing with instant results Test center in SCA Training Center, 33rd floor, Al Attar Tower, Dubai, UAE Test centre open five days a week

The SCA's mission is to ensure compliance with the best international practices and standards, in order to protect investment in the capital markets and consolidate the stability of the national economy. By continuously upgrading the supervisory legislation to be implemented in an integrated framework, the SCA ensures transparency, integrity and justice in the operation of the markets, as well as the development of investor awareness in the UAE. The SCA is delighted to have an agreement on training and qualification services with the CISI, to deliver a series of prescribed exams to appropriate market practitioners. The CISI examinations are used extensively by firms to meet the requirements of regulators around the world. The CISI is the leading professional body in the industry, standing not only for professionalism but also excellence and the promotion of trust and integrity.

The SCA and the CISI have come together to develop an exam, the Financial Rules and Regulations of the UAE that forms an integral part of this regime and future development. Candidates follow a designated series of exams according to their job function:

Job function Broker representative of a brokerage firm Trading manager of a brokerage firm Operations manager of a brokerage firm Internal controller of a brokerage firm Financial analyst Exam

Resit Policy:

Candidates must wait for 3 clear days before resiting the exam Candidates can take the exam 3 times before a 6 week break is enforced Some exams can be rescheduled but fees apply. Contact SCA for details

Application Process

Visit SCA website: www.sca.ae, click on the Regulated Firms in the main menu, choose Brokers, choose Brokers Procedures,

and then choose SCA & CISI Qualifications-led Licensing Regime Download the application forms and specify the preferred date and exam Send completed application forms to SCA as follows: First sitting entry exam: SCA Training Centre - Dubai Resit sitting entry exam: SCA Training Center - Dubai Receive Invoice by email Prepare payment to SCA Send Payment Slip via email to SCA ([email protected]) Receive full confirmation via email Receive exam material on pdf via email

Exams required for SCA licence

International Introduction to Investment (English/ Arabic)

International Introduction to Investment (English/ Arabic)

International Introduction to Investment (English/ Arabic)

International Introduction to Investment (English/ Arabic)

50 Q 1 Hr

The UAE Financial Rules & Regulations

The UAE Financial Rules & Regulations

The UAE Financial Rules & Regulations

The UAE Financial Rules & Regulations

The UAE Financial Rules & Regulations

50 Q 1 Hr

Global Securities

Global Securities

Global Securities

Global Securities

Global Securities

100 Q 2 Hrs

Operational Risk

Operational Risk

Operational Risk

Risk in Financial Services

50 Q 1 Hr or 100 Q 2 Hrs

International Investment Management

100 Q 2 Hrs

If you have any queries on the SCA & CISI Qualification-led Licensing Regime please contact SCA Training Centre at +971 4 331 2999 or email [email protected] or [email protected]

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