Regulatory Structure - Securities Exchanges and Clearing Agencies - Licensed Persons and Registered Persons

المدرّبون

باتريك مهدي

معلومات إضافية

شهادة حضور

اللغة: English (US)

المدّة: 13 ساعة 40 دقيقة

مقدمة عن البرنامج

Seattle International Institute for Training (certified by CISI) presents "Kuwait Capital Markets Authority Rules and Regulations". This program offers 12 units included in "Kuwait Capital Markets Authority Rules and Regulations" study material created by the Charted Institute for Securities & Investments. The program was developed with representatives from leading global financial services organizations, both capital markets, wholesale, and retail.


·         Know the aims of the Authority

·         Know the scope of the Authority's activities

·         Understand what registered employment positions are required to be registered with the Authority

·         Understand risks relating to: credit risk, market risk, liquidity risk, and operational risk

·         Know the regulations relating to clients' complaints

·         Know the Licensed Person's reporting obligation to: clients; the Authority


1.      Regulatory Structure

2.      Securities Exchanges and Clearing Agencies

3.      Licensed Persons and Registered Persons

4.      Client Funds and Client Assets

5.      Conduct of business

6.      Mergers and Acquisitions

7.      Disclosure and Transparency

8.      Dealing in Securities

9.      Listing Rules

10. Collective Investment Schemes

11. Market Integrity

12. Corporate Governance 


 An online course that you can attend at any time that suits you with high quality. -

- To complete the rest of the course, kindly click on Join the course at the top of the screen or subscribe.

- After completing the course and attending it completely, a window will appear, write your name in both Arabic and English, and you will get the certificate directly.

- Certifications are accredited. Issued by the signature of the trainer and the management of the center.


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