Exam Preparation for CISI UAE Financial Rules & Regulations (English)

This CISI UAE Financial Rules & Regulations course explains the regulatory and legal framework that underpins financial markets and investment business in the UAE.
Training is structured around the official CISI syllabus, so you cover all eight elements tested in the 100‑question, two‑hour multiple‑choice examination.

The objective of the examination is to ensure candidates have a basic knowledge of the regulations and legislation underpinning the financial markets and the conduct of investment business in the United Arab Emirates.

Targeted Industry

Banking, Insurance, Stock Exchange, Finance, Consulting & Audit & Accounting. Those working in other industries can also apply.

Targeted Audience

• Banking and investment professionals working with UAE markets, products, or clients.
• Compliance, risk, internal audit, AML and financial crime teams in banks, brokerages and investment firms.
• Relationship managers, wealth managers, financial advisors and analysts preparing for the CISI exam.
• Fresh graduates looking to build a regulatory career and earn the ACSI designation.

Syllabus Summary

The course follows the official CISI elements and learning objectives, with a focus on real UAE examples.
Each module links theory to practice helping you answer exam questions and apply the rules in your day‑to‑day role.

• Element 1 – Regulatory Infrastructure: Federal Law No. 4 of 2000, SCA objectives and powers, market licensing, disclosure and transparency, and the CISI Code of Conduct.
• Element 2 – Market & Securities Legislation: regulatory controls for financial services, brokerage rules, separation of client accounts, dormant accounts, and financial consultancy/analysis licensing.
• Element 3 – Investment Funds: rules for public and private funds, Emirates UCITS, REITs, ETFs, cash funds, and evaluation of in‑kind shares.
• Element 4 – Markets: central depository functions, IPO rules, troubled joint‑stock company procedures, Islamic securities, debt, derivatives, and crypto‑asset regulations.

• Element 5 – AML & CFT: Federal Law No. 20 of 2018, CDD and beneficial ownership, PEPs, STRs, internal controls, penalties, and tipping‑off offences.
• Element 6 – Client Protection: suitability and appropriateness standards, client money and asset protection, reporting, financial promotions, and introducer obligations.
• Element 7 – Trading: ADX trading and broker rules, clearing and settlement, commodities clearing, and Dubai Gold & Commodities Exchange product specifications.
• Element 8 – Dubai Financial Market: brokerage firm obligations, order handling, professional code of conduct, online trading rules, and order types and conditions.

Batch Details:

Fees: AED 1500 (Inclusive of VAT) | Batch Starts: 15 May 2026, Friday

Mode of Training: Online / Face to Face (Crowe UAE Academy)

Language: English

Register Today: https://tinyurl.com/crowecisi2026

Trainer: Mr. Pijush Kanti Das. A seasoned banker with over 30 years of experience in Risk Management and Compliance. He is a Certified AML Specialist (CAMS), Certified Financial Crime Specialist (CFCS) and Global Sanctions Specialist. He is an associate member and is certified by CISI.

Contact: https://academy.crowe.ae/ | +971582533829 | [email protected]