WORKSHOPS

This program aims to provide participants with a comprehensive understanding of the fundamentals of financial markets and the structure of the stock market in the United Arab Emirates. It also aims to enhance their practical skills in trading, financial and technical analysis, and understanding relevant regulatory and compliance aspects. Moreover, it enables brokers to develop their competencies in advising clients, handling various investment products, and adhering to the standards of the Securities and Commodities Authority.

This program targets trading brokers in the United Arab Emirates, employees of brokerage firms, and professionals seeking to develop their skills and knowledge in the UAE financial markets.

15 CPD Hours on other topics delivered by SCA

15:00 - 16:20 Session 1

16:20 - 16:30 Break

16:30 - 17:50 Session 2

17:50 - 18:00 Break

18:00 - 19:00 Session 3

Day One: Foundations of Financial markets

Module 1: Introduction to Financial Markets

·         What are financial markets?

·         Role of capital markets in the economy

·         Types of financial markets:

o   Equity, Debt, Derivatives, Forex, Commodities

·         Primary vs Secondary Markets

·         Overview of GCC markets with UAE focus

Module 2: Stock Market Structure

·         What is a stock and how is it issued?

·         IPO process and book-building

·         Types of shares: Common vs Preferred

·         Market participants: Investors, Traders, Brokers, Custodians, Regulators

Module 3: Overview of UAE Stock Exchanges

·         Dubai Financial Market (DFM)

·         Abu Dhabi Securities Exchange (ADX)

·         Nasdaq Dubai

·         Listing requirements, trading hours, T+2 settlement

Day 2: Market Operations, Analysis & Broker Skills

Module 4: Role of the Broker

·         Functions of a broker: Execution, advisory, client servicing

·         Responsibilities under SCA regulations

·         Trading desk vs Advisory roles

·         Broker-dealer vs Introducing Broker

Module 5: Order Types & Market Mechanics

·         Bid/Ask, Spread, Liquidity

·         Order types: Market, Limit, Stop, Stop-limit

·         Short-selling and margin trading in UAE

Module 6: Regulation & Compliance in the UAE

·         Securities & Commodities Authority (SCA) role

·         Key compliance topics: AML, Insider Trading, Conflict of Interest

·         Know Your Customer (KYC) and Suitability obligations

·         Best execution and transparency requirements

Day 3: Practical Application, Products & Advisory Skills

Module 7: Fundamental & Technical Analysis Basics

·         Financial statements: EPS, P/E ratio, ROE

·         Valuation basics (DCF, comparable)

·         Charts, price trends, support/resistance

Module 8: Equity Investment Products in the UAE

·         Direct stock investing

·         ETFs and REITs listed on DFM/ADX

·         Derivatives and Index futures (Nasdaq Dubai)

·         Shariah-compliant investing and Islamic indices