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QFC Rules and Regulation-CISI

Start Date:
24 Sep 2017
Duration:
3
Cost:
QAR 6600
Description:
Course Name: Qatar Financial Centre Rules and Regulations -CISI
 Course Information
A preparatory programme offered to support the QFC Regulatory Authority’s mandatory qualification “QFC Rules and Regulation” requirements. The programme will provide an understanding of the regulations and legislation that underpin the financial market and the conduct of business within the Qatar Financial Centre, covering regulatory infrastructure and key regulations of the QFC Regulatory Authority.
Certification by the Chartered Institute for Securities & Investment (CISI)
 
Objectives
On completion of the examination, candidates will have :
 
  • Knowledge and understanding of the appropriate Qatar Financial Centre’s Regulations and the QFC Regulatory Authority’s rules as they may apply to an individual carrying on regulated activities and to authorized firms and such other rules and regulations about which appropriate firms and individuals should be aware.
Target Audience
Staff of QFC registered firms.
 
Prerequisites
Pre-requisite knowledge for the course may be obtained through prior certified learning or experiential learning at the workplace.
 
Course Structure
The course is conducted via a combination of lectures; case studies; role               plays; and videos, where applicable.
Course Facts
Duration: 3 Days             
Date: Sep 24-26, 2017
Course Fee: QR 6,600
 
Exam:
Assessment- Examination – 2 Hours, 100 multiple choice questions
Program Content:
ELEMENT 1 : QFC LAW AND FINANCIAL SERVICES REGULATIONS
 
  1. QFC Financial Services Regulations 1.2 QFCRA Powers of Investigation (Financial Services Regulations)
 
ELEMENT 2 COMPANIES, PARTNERSHIPS AND TRUSTS
2.1 Legal Entities
2.2 Limited Liability Companies (Companies Regulations 2005)
2.3 Protected Cell Companies (Companies Regulations 2005)
2.4 Partnerships (Partnership Regulations 2007)
2.5 Trusts and Trustees (Trust Regulations 2007)
 
ELEMENT 3 OTHER QFC REGULATIONS
3.1 Contract Regulations 2005
3.2 Insolvency Regulations 2005
3.3 Arbitration Regulations 2005
3.4 Employment Regulations
 
ELEMENT 4 INDUSTRY PROTECTION RULES AND REGULATIONS
4.1 Data Protection Regulations 2005
4.2 Data Protection Rules
4.3 Market Abuse and Contraventions
4.4 Money Laundering
 
ELEMENT 5 CLIENTS’ ASSETS (ASET)
5.1 Client Money
5.2 Provision of Custody Services
5.3 Collateral
5.4 Insurance Money
 
ELEMENT 6 CONDUCT OF BUSINESS RULEBOOK (COND)
6.1 Authorised Firms’ Obligations
6.2 Financial Promotions
6.3 Conduct of Investment Business
6.4 Dealing and Managing
6.5 Conduct of non-Investment Insurance Mediation Business
6.6 Conduct of Insurance Business
6.7 Conduct of Deposit Taking Business
6.8 Customer Dispute Resolution Scheme
 
ELEMENT 7 OTHER QFCRA RULEBOOKS
7.1 Collective Investment Schemes Rules 2010 (COLL) and Private Placement Schemes Rules (PRIV)
7.2 Controls Rulebook (CTRL)
7.3 General Rulebook (GENE)
7.4 Individuals Rulebook (INDI)
7.5 Islamic Finance Rulebook (ISFI)
7.6 Principles Rulebook (PRIN)
 
 

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