WORKSHOPS

- Register and complete the payment through the official training website.

- Upon successful registration, an invitation email—including the access link, workshop resources, and Pre- & Post-Assessment links—will be sent one day before the workshop.

This workshop gives a firm understanding of the fraud regulatory landscape and how to prevent Fraudulent activities. The course aims to raise the participants’ awareness on ethics, integrity and fraud prevention, as well as Professional behavior.

The workshop is suitable for all employees of different capital market institutions, regulators, stock exchanges and depository centers, as well as brokers and other entities related to capital markets. 

Certificate of participation issued by UASA & CMA.

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

1. Fraud

Regulatory Landscape

• Overview

• Role of local regulators

• Role of international regulators

• Enforcement and implementation

THE GCC/ MENA REGULATORY ENVIRONMENT

• Introduction to GCC/MENA fraud Regulatory Environment

• Financial markets regulations and other regulatory bodies, amendments

• Definition of Fraud

• Types of Fraud

• What is Whistle blowing / Its policy and procedure

• What is a suspicious Activity?

• Red flags” for suspicious activity?

• How to prevent Fraudulent activities

• What is Internal Fraud

• What are transaction reports and when to file a report?

2. Business Ethics

• Introduction to Ethics

• A matter of trust

• Ethics and core principles in the regulatory landscape

• Identification and guidance

• Relationships with customers

• Professional behavior

• Prohibited Activities

• Treating Customers fairly