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| Section | Weight | Objectives |
|---|---|---|
| The Regulatory Infrastructure | 10% | - Roles and powers of regulators - Legislative framework and regulatory objectives - Regulatory bodies: SCA, CBUAE, DFSA, FSRA |
| Authorised Persons | 6% | - Licensing and authorization requirements - Obligations of authorized firms and individuals - Conduct of business rules |
| Client Protection | 20% | - Communications, reporting and complaints handling - Client identification and classification - Client assets and money protection |
| Market Conduct Legislation and Regulation | 28% | - Financial crime, AML and CFT regulations - Insider dealing and market abuse - Disclosure and transparency obligations |
| Trading | 20% | - Trading rules and mechanisms - Reporting and compliance requirements - Market integrity and surveillance |
| Associated Market and Securities Legislation and Practice | 6% | - Legal obligations of market participants - Securities laws and regulations - Market operation rules |
| Markets | 10% | - Trading and settlement rules - UAE exchanges: DFM, ADX, NASDAQ Dubai - Listing and admission requirements |
How long must licence applicants keep back-up copies of records?
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Where an individual opens a trading account with a broker in order to trade securities listed on the ADX, the investor number allocated will be subdivided according to:
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