The United Arab Emirates Financial Rules and Regulations Quiz 03

Last Updated: June 2024

Table of Contents

The United Arab Emirates Financial Rules and Regulations
1.3.1 know the regulations that apply to a securities and commodities market licensed in the UAE (Regulations as to the functioning of the market SCA regulation 2001–3 dated 29 April 2001), 1.4 Corporate Governance – (Law No. 3 issued Jan 2020) On completion, 1.4.1 know the terms of the joint-stock companies governance guide, 1.4.2 know the regulations regarding, 1.5 Codes of Conduct On completion, the candidate should, 1.5.1 know the CISI code of conduct 1.6 License categories and requirements (decision no.13/Chairman issued on 2021) On completion, the candidate should, 1.6.1 know licensing requirements for dealing in securities, 1.6.2 know licensing requirements for dealing in investment

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