Regulatory Compliance
UAE CMA Regulatory Compliance Requirements
A structured review of the UAE Securities and Commodities Authority's regulatory framework, covering compliance requirements for firms operating in the UAE capital markets.
About This Seminar
The Securities and Commodities Authority (SCA) regulates capital markets activities across the UAE, with an extensive rulebook covering licensed financial activities. This programme provides compliance professionals and senior managers at SCA-regulated firms with a clear understanding of their regulatory obligations.
What you will cover
- SCA’s regulatory mandate and legislative framework
- Licensed financial activities and authorisation requirements
- Conduct of business obligations for investment firms
- Disclosure requirements and market integrity rules
- SCA AML/CFT requirements and their interaction with CBUAE rules
- SCA supervisory and enforcement approach