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QFMA Rules & Regulations (CISI)

Start Date:
10 Dec 2018
5 Days
QAR 8250

The course provides guidance about the Licensing Conditions and Procedures along with rules of conducts addressing financial services in the State of Qatar.

Enable professionals willing to conduct business within financial securities and market in the State of Qatar to get knowledge about the rules and regulation and to pass the exam that license them as “Approved Person”

Target Audience
All professionals working in securities’ industry i.e. brokers, advisors, compliances officers, investment managers, custodians, underwriters, and bankers.

Course Structure
It is estimated that the workbook will require approximately 70 hours of study time. The course will be around 30 hours in-class. The instructor will explain in details, lead discussions, and give quizzes to cover all the material. The students will need to review and recap again the material for better result.

Course Facts
Duration:  5 Days (sessions) and each session is 6 hours.
Number of questions: 50 questions, all multiple choice, and each question has four possible answers.
Pass score: 70%
Exam time: 1 hour

Program Contents

  • Chapter 1: Licensing Conditions and Procedures
  • Chapter 2: Conduct of Business
  • Chapter 3: Information Requirements
  • Chapter 4: Internal Controls
  • Chapter 5: Managing the Risk of Financial Crime
  • Chapter 6: Business Development
Day One - Licensing Conditions and Procedures
  • Licensing activities
  • Obtaining a license
  • Approved persons
  • Regulated functions
  • The approval process for approved persons
  • The international regulatory environment
  • Rules of conduct
Day Two - Information requirements
  • Client relationships
  • Reports and records
  • Information exchange – company to client
  • Information exchange – client to company
Day Three - Internal Controls
  • The compliance officer
  • Distribution of responsibilities
  • Resources and control
  • Monitoring compliance
  • Risk management
  • Personal account dealing
  • Managing compliance risk
Day Four - Managing the Risk of Financial Crime
  • Risk
  • Anti-money laundry/combating the financing of terrorism (AML/CFT) principles
  • Anti-money laundering/combating the financing of terrorism (AML/CFT) policies
  • The training program
  • Senior management responsibilities
  • Money laundry reporting officer (MLRO) and deputy MLRO
  • Reporting and record keeping
Day Five - Business Development
  • Branches and agents of the company
  • Custodian
  • Outsourcing
  • International expansion
  • Suspension, modification and cancellation of license

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