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CISI-UAE Financial Rules and Regulations

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.About CISI-the Certifying Body-UK

No Upcoming Batches Available!

Course Fees

1260.00

2500.00

Join a free demo class to experience our course first-hand and book your spot now!

Join CISI-UAE Financial Rules and Regulations

About CISI-the Certifying Body-UK

The CISI (Chartered Institute of Securities and Investment) is the largest and most widely respected professional body in UK awarding perfect qualifications to those who work in securities and investment industries ensuring that the practitioners in the financial services industry attain the competence they need.

What does the UAE Rules and Regulations Course Covers?

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.

  • Taken as a stand-alone qualification.
  • Free CISI Student membership
  • ACSI Designatory letters
  • Available to all, no entry level qualification required.

For whom the course is?

  • Banking and Insurance Professionals
  • Sales Professionals and Product Managers
  • Auditors & Consultants
  • Brokers, Traders and Trading Managers
  • Financial Analysts & Advisors
  • Wealth Managers, Investment Managers, Fund Managers and Assets Managers
  • Finance Professionals
  • Promoters, CEOS, Directors, Branch Managers                                                                                         
  • Fresh Graduates 

Benefits of this qualification/certification:

  • Global recognition
  • High level of competence
  • Specialization in the course
  • Full study resources
  • CISI Student membership
  • ACSI designatory Letters

Your Steps to earn this certification course.

  • Enroll with ELEGANT for Training and exam preparation.
  • Register with CISI and book your exam-we will assist you.
  • Exam Fee AED 1200 Approx.
  • Appear for the exam-anytime, result same time.
  • Get your Certificate!
  • Earn your designatory letters-ACSI.

Our Training Methodologies and what we provide:

  • Physical in person and Online Live Classes
  • Total Duration of the training-25-30 hours
  • Special Study Materials prepared by ELEGANT.
  • Text Materials from CISI
  • Past Questions & Answers review
  • Mock Tests for each Chapter
  • Recorded Classes
  • Unlimited sessions

Exam Format

  • 2 Hours exam-CBT test-100 MCQ-100 marks
  • 10% extra trial questions
  • Pass marks-70%-No negative marking.
  • Pass rate-55-60%
  • Recommended study-100-125 hours.
  • Can be taken any time of the year.
  • Prometric Centers-Dubai & Abu Dhabi and all other countries
  • Result declaration same time
  • 8 CPD hours on successful completion
  • Refer site: WWW.CISI.ORG

CISI-UAE Financial Rules and Regulations Course Syllabus

Structured outline detailing the topics, objectives, assignments, and schedule of CISI-UAE Financial Rules and Regulations

CISI-UAE Financial Rules and Regulations

  • Federal Law of No. 4 of 2000
  • Securities & Commodities Authority (SCA)
  • SCA Resolutions
  • Corporate Governance
  • Codes of Conduct
  • Licence Categories and Requirements
  • Accounting System Controls

  • General Provisions
  • Licensing Financial Activities
  • Further Licence Applicant Requirements

  • Local Funds
  • Provisions Specific to Certain Public Investment Funds
  • Cash Investment Funds
  • Exchange-Traded Funds (ETFs)
  • Real Estate Funds
  • Evaluation of In-Kind Shares of Investment Funds

  • The Central Depository
  • Issuing and Offering Shares in PJSC
  • Troubled Public Joint-Stock Companies
  • Conciliation
  • Debt Securities
  • Islamic Securities
  • Derivatives
  • Crypto Assets

  • Offences
  • The Role of the Financial Services Sector
  • Prohibitions
  • Politically Exposed Persons (PEPs)
  • Suspicious Transaction Reports (STRs)
  • Practical Measures
  • Record Keeping Requirements
  • Penalties
  • Market Abuse Regulations in the UAE
  • Conflicts of Interest Accepted Practice in the UAE

  • Suitability Standards
  • Appropriateness Standards
  • Client Assets Accepted Practice
  • Client Communications, Reporting, Financial Promotions
  • Promoters and Introducers
  • Regulations for Special Purpose Acquisition Companies

  • Abu Dhabi Securities Market (ADX)
  • Broker and Trading Rules of the ADX
  • Clearing, Depository and Registry Rules
  • Clearing in Commodities Markets
  • Dubai Gold & Commodities Exchange

  • Brokerage Firms
  • Rules of Securities Trading in the DFM
  • The Professional Code of Conduct (DFM)
  • Online Trading Regulations (DFM)
  • Order Types (DFM)
  • Order Handling (DFM)

Choose Elegant training for CISI-UAE Financial Rules and Regulations

CAREER GROWTH SUPPORT

Get personalized career counseling and interview prep to leverage your CISI certification. Our placement assistance helps connect you with UAE financial institutions. Earn the ACSI designation to boost your professional credibility.

COMPREHENSIVE LEARNING

Master all 8 modules from regulatory infrastructure to DFM operations. Our syllabus covers 100% of CISI exam content with real-world case studies. Includes AML, client protection, and market trading rules.

FLEXIBLE LEARNING

Choose between live online or in-person classes with 24/7 recorded access. Schedule exams anytime at Prometric centers across UAE. Study at your pace with 30-hour training + 100 recommended study hours.

INDUSTRY EXPERIENCED TRAINERS

Learn from CISI-certified professionals with UAE regulatory experience. Trainers simplify complex financial legislation with real compliance examples. Get insider insights into SCA and DFM requirements.

HANDS ON TRAINING

Practice with mock exams mirroring the 100-MCQ CISI test format. Solve actual regulatory scenarios from UAE financial markets. Includes chapter-wise assignments with trainer feedback.

PRACTICAL ASSIGNMENTS & PROJECTS

Analyze recent UAE Central Bank circulars as case studies. Draft compliance reports for simulated financial firms. Group projects on implementing AML/CFT frameworks.

A Message from the Founder – Empowering Learners for a Brighter Future

I am Aditya Prasad Sahoo, Founder, Elegant Training Center

At Elegant Training Center, our mission is to provide high-quality, practical education that helps individuals and businesses grow. Join us in shaping your future with industry-focused training programs.

CISI-UAE Financial Rules and Regulations - FAQs

A globally recognized qualification by the Chartered Institute of Securities & Investment (UK), covering UAE-specific financial regulations, AML, and market compliance. Successful candidates earn the ACSI designation.

Banking/finance professionals, auditors, compliance officers, fresh graduates, and anyone handling UAE financial markets, investments, or regulatory reporting.

None! Open to all—no prior qualifications needed. Basic finance knowledge helps but isn’t mandatory.

  • Training: 25–30 hours (Pysical & live online/recorded)
  • Self-study: 100+ hours recommended
  • Exam: 2 hours (100 MCQs)

  • Computer-based test (CBT) at Prometric centers (Dubai/Abu Dhabi)
  • 70% passing score, no negative marking
  • Results immediately after the exam

  • Study materials (CISI textbooks + our expert guides)
  • Mock tests with past papers
  • Unlimited revisions and recorded classes

  • ACSI letters boost credibility for roles in compliance, asset management, or auditing.
  • Recognized by UAE regulators (SCA, DFM) and global firms.

No, exams are in-person at Prometric centers (available worldwide).

  • Training fee: 1575 AED
  • CISI exam fee: ~AED 1,200 (paid directly to CISI)

  • Register with ELEGANT for training.
  • We’ll help you book the CISI exam.
  • Pass the exam and earn your ACSI designation!

Join Our CISI-UAE Financial Rules and Regulations

Online Live & Physical Classes | Flexible learning, expert trainers, and guaranteed exam success!

  • Physical in person Classes
  • Online Live Classes
  • Total Duration of the training-25-30 hours
  • Special Study Materials prepared by ELEGANT.
  • Text Materials from CISI
  • Past Questions & Answers review
  • Mock Tests for each Chapter
  • Recorded Classes
  • Unlimited sessions
  • LMS Access
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