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:

ICAS logo International Compliance & Anti-Money Laundering Society (ICAS - UK) The ICAS is one of the world's largest Compliance organization based in UK since 1956, premier provider of Anti-money Laundry and compliance training and education and consulting. Together with nearly 32,600 members, the ICAS is reducing business Anti-money Laundry worldwide and inspiring public confidence in the integrity and objectivity within the profession.


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.