WORKSHOPS

This workshop provides a sound grounding on the regulations and legislation underpinning the financial markets and the conduct of investment business in the United Arab Emirates. Including functioning, Administration, Incorporation, Laws relating to Brokers, Objectives and Powers of SCA, Disclosure requirements, Penalties, Listing requirements, Regulations pertaining to Securities and Commodities Markets, Corporate Governance, Financial Products, Market Activities, Anti-Money Laundering in UAE, Clients Protection, Trading Laws etc.

The workshop is suitable for a wide audience – Employees of different capital market institutions, regulators, stock exchanges and depository centers, as well as brokers and other entities related to capital markets – from new entrants to professionals already working in the sector.

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

1. The Regulatory Infrastructure

• Federal Law No. 4 of 2000

• Securities & Commodities Authority (SCA)

• SCA Resolutions

• Corporate Governance – (Law No. 3 issued Jan 2020)

• Codes of Conduct 

2. Associated Market and Securities Legislation and Practice

• Regulatory Controls for Financial Activities and Services (Decision No. (123/R.T) of 2017)

• Brokers (Decision No. (27) of 2014 Concerning Brokerage in Securities)

• Controls of Trading by Brokerage Firms for their Clients in Foreign Markets (Decision No. (86/R.T) of 2014)

• The Rules and the Mechanism for the Separation of Accounts with Brokers

• Dormant Accounts (Decision No. (85/R.T) of 2015)

• Financial Consultancy and Financial Analysis (Decision No. (48/R) of 2008)

3. Investment Funds

• Investment Funds (Decision No. (1) of 2014)

• Open-Ended Public Investment Funds (Emirates UCITS)

• Public Closed-Ended Investment Funds

• Provisions Specific to Certain Public Investment Funds

• Cash Investment Funds

• Exchange Traded Funds

• Real Estate Funds

• Evaluation of In-Kind Shares of Investment Funds (Decision No. (63/R.T) of 2019) 

4. Markets

• The Central Depository (Decision No. (19/R.M) of 2018)

• Issuing and Offering Shares in Public Joint-Stock Companies

• Procedures for Dealing with Listed Troubled Joint-Stock Companies (Decision No. (13) of 2020)

• Conciliation

• Debt Securities (Decision No. (17) of 2014)

• Islamic Securities 

• Derivatives