SC02: Securities and Compliance Certification: Financial Management Certification Dubai UAE : Arab Institute for Accountants & Legal (AIAL)

Accounting Certifications

SC02: Securities and Compliance Certification

SC02 focused on the creation of new Broker/Dealers, Registered Investment Advisers, and ongoing compliance consulting and training. Risk based approach and utilization of automated compliance technologies. The approach is unique in that utilize proprietary software, to meet the requirements of the compliance program while significantly reducing the administrative time and resources. By applying automated supervision software and document management tools, appropriate checks and balances will effectively reduce your risk and increase performance. There is a way to creative blend compliance and technology to create the ideal compliance culture.

Certification Issued By:

IFIS logo International Financial Institution Society (IFIS - USA) IFIS is a global network of professional services organization providing Financial, Client Solutions, Assets Management and Accreditation services. We have 62,000 outstanding professionals working together to deliver value in 15 countries.

Membership By:

hacab logo HIGH AUTHORITY COUNCIL FOR ARAB BANKERS (HACAB) The council believes that the ideal platform for communication, networking, and information sharing, which gathers today under its umbrella, the elite Arabs working in the Arab World and internationally - has fostered mutual cooperation among its members and strived to serve their common interests and goals thus reinforcing the Arab Banking and finance industry. It further represents a main drive for synergizing Arab competencies


You are qualified to take this certification if you have any of the below requirements:

  • Must have at least one year experience in related field
  • Bachelors or Masters Degree

Course Parts:

  • The Law of Securities Regulation
  • Introduction to the Federal Securities Laws
  • Introduction to Securities Arbitration
  • Introduction to the Initial Public Offering Process
  • Introduction to Insider Trading – insider trading
  • Corporate Law and Finance
  • Broker Legal Information
  • Investor Legal Information
  • Simplify IT Compliance and Regulatory Audit with Event Log
  • Securities and Compliance Audit Reports

How to Register?

  • Register Online or
  • Fill-up the registration form and visit the Institute, with the following requirements then pay the necessary fees.
    • passport copy
    • 1 copy of passport size photo
    • eligible certificate copy

Download Course Details

Download full details of this course.