WORKSHOPS

This regional training program is designed for authorized people operating in the UAE financial markets and officials from capital markets regulatory authorities across the MENA region. It aims to enhance participants’ understanding of the legal, institutional, and operational frameworks that govern enforcement actions in financial markets, with particular focus on the distinction between administrative sanctions and criminal prosecutions.

Through a combination of expert-led sessions, legal analysis, comparative case studies, and interactive discussions, participants will explore global best practices, including those of the US SEC, the UK FCA, and the French AMF, as well as regional experiences from countries such as the UAE, Saudi Arabia, Kuwait, Lebanon, Morocco, and other countries in the region. The program also provides practical guidance on enforcement tools, escalation procedures, and coordination mechanisms between regulators and judicial authorities.

This workshop also serves as a platform to connect participants with best practices in capital market enforcement, both internationally and regionally. It supports regulatory professionals in strengthening enforcement capacity, enhancing procedural fairness, and fostering cross-border cooperation to ensure market integrity, and reinforce investor confidence and protection throughout the Arab financial markets.

This workshop program is specifically tailored to authorized persons in the UAE financial markets as well as representatives of capital markets regulatory authorities in the MENA region. It addresses the practical and legal aspects of financial market enforcement, with a focus on the tools, processes, and challenges related to administrative sanctions and criminal prosecutions. By bringing together regulatory professionals from various Arab jurisdictions, the program provides a unique platform to share experiences, align practices with international standards, and strengthen regional cooperation in capital market enforcement.

Certificate of participation issued by the UASA & SCA Professional Training & Examinations Centre.

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

General Legal & Regulatory Framework

• Role of regulators and importance of market integrity; definition of investigative actions, corrective measures and administrative sanctions vs criminal prosecutions.

• Sources of regulatory authority (laws, regulations, bylaws); division between administrative and criminal enforcement; due process principles; specific regulatory authority in financial zones (DIFC, ADGM, QFC, CFC)

• Enforcement in US (SEC), UK (FCA), France (AMF); Capital Markets Courts in Saudi Arabia, Lebanon and Kuwait; best practices and lessons for Arab markets.

Practical Applications & Challenges

• Range of tools (fines, suspensions, revocations); criteria for sanctions; deterrence effect; practical examples.

• Key offenses (insider trading, fraud, market manipulation); escalation to prosecutors; coordination challenges