Securities Market Regulation Course

Securities markets are a catalyst for economic development and the growth of the economy. This Securities Market Regulation program is designed to acquaint professionals with sound prudential principles and practices for securities regulation. This Securities Market Regulation course covers the technical underpinnings of the functionalities of capital markets and gives professionals a framework for understanding securities market regulations. This Securities Market training program allows securities professionals to stay abreast of the latest market legal framework, products, processes, and technologies.

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  • 16 Hours Training
  • Online / Classroom / Onsite
  • 20 Apr, 2024 / 28 Apr, 2024
  • Additional Program Dates
  • 100K+ Happy Students

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What is this Securities Market Regulation course all about?

The Securities Market Regulation training program explains important financial services and markets regulation with emphasis on debt or equity offerings, mergers, acquisitions, and financial restructuring. The course addresses the theoretical basis for and the role of securities regulation in regulating capital markets and protecting investors. At the end of the course, professionals should have a contextual understanding of regulatory provisions and a sound foundation in the analysis of securities. This training helps participants to develop a working knowledge of current best market practices and regulatory considerations for equity and debt securities.

Why is getting trained on Securities Market Regulations important?

The Securities Market act as a major driver in transforming the economy into a more efficient, innovative, and competitive marketplace. Any professional acquainted with the principles and practices for securities regulation is highly valued in the job market. By getting trained on securities market regulations, professionals can have a contextual understanding of regulatory provisions and a sound foundation in the analysis of securities and the systemic importance of securities regulation and put them into practice. This can help them to land in-demand and high-paying jobs.

Why do companies hire professionals with Securities Market Regulations certification?

Professionals with Securities Market Regulations certification demonstrate their profound knowledge of the regulations that cover all activities and intermediaries in the securities markets. As companies issue securities to raise short and long-term capital for conducting their business operations, there are in need of expert advice. They hire certified securities market experts for their abreast knowledge of the latest market legal framework, products, processes, and technologies that can help companies in selecting and managing a portfolio of securities.

Industry Trends

The securities market is dynamic making the jobs in the securities market profession extremely competitive. The Securities Market Regulations certification comes with its own set of merits and opportunities in the market. Let us see how.

Market trends

Owing to the growth and evolution of the trading industry and the significance of the securities market for the economy of nations, this sector is witnessing impressive growth rates. Today, with projected job growth of 10% (as per the data from the U.S LBS), a career in the securities market has become a lucrative one offering a plethora of job opportunities for skilled securities market enthusiasts.

Salary Trends

With almost 32,500 new job positions opening in the securities market sector, this profession is growing at high speed. Apart from offering numerous job opportunities, it is highly rewarding. Professionals with securities market expertise are offered impressive salaries. As per the data from payscale.com, the average salary for a Stock Broker in the United Arab Emirates is AED 290,000 per annum.

Demand & Opportunities

Securities market regulations have increased the number of employment positions in the sector. The Securities Market Regulations certification gives an assurance of the necessary competency in related roles, thus making these opportunities easier to avail.

A few of the most-sought securities market jobs available in the Dubai region (as observed in popular Dubai job portals) follow:

  1. Stockbrokers have regulated representatives of the financial market who enables the buying and selling of securities
  2. Securities Market Analysts research and scrutinize financial data on securities to guide investors/organizations on investment
  3. Equity Advisors develop, learn and understand trading strategies to help investors make the right securities market decisions
  4. Market Researchers analyze and provide financial insights on trading securities 
  5. Portfolio Managers are responsible for creating and managing investment allocations

Course Outcome

Successful completion of the Securities Market Regulation program will help you to:

  • Understand the legal structure of regulations of securities markets
  • Learn how the legal and economic boundaries between investors, companies, and financial intermediaries create incentives
  • Identify, analyze, and understand the tradeoffs that government regulators make when deciding financial and securities markets policy
  • Evaluate regulatory policy as an economic phenomenon
  • Perform analysis and mitigate risks to prevent damage to the securities market

Course Module

  • Registration Requirements & Qualification Examinations 
  • Insider Trading 
  • Registration Statements 
  • Financial Statements: Balance Sheet, Income Statement, Cash Flow Statement 
  • Special Issues in Accounting: Depreciation, Investments in Stock, Minority Interest, Stock Splits, Dividends, Channel Stuffing 
  • Valuation Metrics: Turnover Ratios, Liquidity Ratios, Profitability Ratios, Capital Structure Ratios 
  • Valuation Models: Discounted Cash Flow (DCF), Capital Asset Pricing Model (CAPM), Dividend Growth Model (DDM)
  • Relative Valuation Measures: P/E Ratios using Trailing & Leading EPS, PEG Ratios, Price-to-Sales, Price-to-Book
  • Free Cash Flow to the Firm, Free Cash Flow to Equity, EBITDA, Enterprise Value, Terminal Value 
  • Weighted Average Cost of Capital (WACC): Cost of Debt and Equity
  • Hostile Deals: Takeover Defenses 
  • Distressed Sellers
  • Tender Offers 
  • Types of Securities: Equity & Debt 
  • Common Stock: Shareholder Rights, Authorised and Issued Stock, Voting, Ex-Dividend Rules 
  • Bonds: Value, Yield, Call Provisions, Interest Rate Risk
  • Preferred Stock: Cumulative and Non-Cumulative Preferred Stock, Callables & Convertibles
  • Convertible Bonds: Conversion Ratios, Parity Value, Arbitrage
  • Options: Call and Puts
  • Options Strategies: Covered Calls, Hedging with Puts 
  • Futures and Forwards
  • The distinction between Mergers and Acquisitions
  • Types of Buyers: Strategic and Financial Buyers
  • M&A Analytics Tools: DCF Analysis, Precedent Transactions Analysis, Comparable Companies Analysis 
  • DCF Valuation: Intrinsic Value, Free Cash Flow (FCF) Valuation, MVA, and EVA 
  • Comparable Companies Analysis: Selecting the Target Company, Spread Key Statistics, Key Trading Multiples, Valuation Implied by EV/EBITDA and P/E, Pros and Cons 
  • Precedent Transactions Analysis: Screening for Comparable Acquisitions, Spread Key Statistics, Key Trading Multiples, Pros and Cons 
  • LBOs (Leveraged Buyouts): Characteristics of a Strong LBO Candidate, Economics of LBOs, Primary Exit Strategies, LBO Financing
  • Types of Issuer Organizations: S Corporation, Partnership, REITs 
  • Sarbanes-Oxley Act, Exempt Securities & Transactions, Private Placements & Regulation D 
  • Underwriting Securities: Firm Commitment, Best Efforts, All-or-None
  • Distribution of Securities: Selling Groups and Syndicates, Green Show Clause, Stabilising Bid 
  • Fiscal and Monetary Policy, Keynesian and Supply-Side Economics 
  • Federal Reserve Bank Tools of Monetary Policy 
  • Exchange Rate Risk 
  • Growth versus Value Investing 
  • Review

Program Dates

20 Apr
  • 11:00 AM
  • Sat
  • Classroom
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28 Apr
  • 01:00 PM
  • Sun
  • Classroom
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Expert Instructors & Teaching Methods

Dr Srinivas is a leading industry professional in the field of finance and accounting. He is an established corporate trainer with demonstrated experience in his field. He is the holder of some of the world’s most valued professional credentials such as CMA, CPA, PMP, CCA, CFE, etc. He has an extensive educational background as well in finance which establishes his mettle in designing, developing and delivering excellent training programs. His training records mark exceptional results in guiding and teaching professionals of all experience levels and from diversified backgrounds. He integrates his excellent presentation skills with the knowledge of educational theories and methodologies to provide onsite and virtual training that is of unparalleled quality. His high community services contribution also ascertains his commitment to training potential aspirants to become tomorrow’s professionals.

Education

  • ⦾ Ph.D. in Management, 2018 (Provisional yet to be received) OPJS University, India
  • ⦾ M.Sc. in Applied Psychology 2016, Bhartiyar University, India
  • ⦾ MBA in Finance 2012, Nagarjuna University, India
  • ⦾ LLB 1998, Osmania University, India
  • ⦾ M.Com 1994, Osmania University, India
  • ⦾ B. Com 1990, Osmania University, India

 

Professional Qualifications

 

  • ⦾ Certified Public Accountant, (CPA), The American Institute of Certified Public Accountants, U.S.A
  • ⦾ Certified Management Accountant, (CMA), The Institute of Management Accountants, USA
  • ⦾ Certified Fraud Examiner, (CFE), Association of Fraud Examiners, USA
  • ⦾ Certified Cost Accountant (ICWA-Inter), The Institute of Cost and Works Accountants of India, India
  • ⦾ Project Management Professional (PMP), Project Management Institute

Dr. Srinivas, PhD, MSc, MBA, LLB, CMA, CPA, PMP

Mr. Kashif is an experienced management consultant having more than 20 years of training experience in corporate governance, risk management, compliance in finance, and many more. His vision has transformed many organizations into successful ventures in UAE and globally. Mr. Kashif’s sound judgment and input have helped many organizations to run smoothly. Being a well-known Chartered Accountant himself, Mr. Kashif knows about Process Auditing, Developing Internal Controls, Investment Management, and many more. Apart from his educational qualification, he is an experienced visionary. His insights have helped organizations immensely, and they are enjoying the reaps of success. He has won many international accolades to date. With the “Communicator of the Year” award under his belt, his teaching has motivated students to aim for excellence. Mr. Kashif uses different methodologies to accommodate various learning approaches and makes the teaching engaging and interactive. He is committed to assisting students in realizing their maximum potential and helping them into successful, well-rounded people, both within and beyond the classroom walls.

Work Experience

  • ⦾ Partner, NSKT Global, Dubai
  • ⦾ Group Internal Audit Manager, Mohammad Omar Bin Haider Holding Group, Dubai
  • ⦾ Head of Internal Audit, Dulsco, UAE
  • ⦾ Head of Risk & Internal Audit, Bukhatir Group, Sharjah
  • ⦾ Group Internal Auditor, Al Abbas Group, Dubai
  • ⦾ Senior Auditor, KPMG, Dubai
  • ⦾ Semi Senior, Deloitte, Saudi Arabia

 

Professional Certifications

 

  • ⦾ Certified Information Systems Auditor (CISA)
  • ⦾ Certified Fraud Examiner (CFE)
  • ⦾ Certified Internal Auditor (CIA)
  • ⦾ Certified in the Governance of Enterprise IT (CGEIT)
  • ⦾ COBIT 5

Mr. Kashif Husein

Why Count on Learners Point?

Being the leading provider of the Securities Market Regulations course in Dubai, at Learners Point we help professionals master the necessary skill sets to successfully complete the Securities Market Regulations certification.

Following are the USPs our Securities Market Regulations program offers you:

  • We look at real-world scenarios organizations face and formulate our Securities Market Regulations training course evaluating practical requirements
  • Apart from theoretical knowledge, we also focus on practical case studies to give you a reality check and insight into what exactly will be asked of you while delivering in a demanding role
  • Our bespoke Securities Market Regulations course also equips you with hands-on experience by offering assignments related to the actual work environment
  • Apart from organizing group sessions, we also offer a guided learning experience to enhance the quality of our Securities Market Regulations training program
  • We also take a discrete approach to career guidance so that one can be successfully placed as a professional

Learners Experience

"I was skeptical about taking an online course, but this one was fantastic. I got my Certified Financial Regulatory Specialist (CFRS) designation, and it's already opening doors for me. Great investment!"

Noor Ali

Certified Financial Regulatory Specialist (CFRS)

"Securities Market Regulation Course provided me with the knowledge and skills I needed to excel in my career. The insights into international regulations were particularly valuable. Now proudly holding the Certified Securities Analyst (CSA) title!"

Luan Shi

Certified Securities Analyst (CSA)

"The course was intense but incredibly rewarding. The instructors were experts in their field, and I'm now a Certified Compliance Officer (CCO). This course was a game-changer for my career."

Loran Dsuza

Certified Compliance Officer (CCO)

"The Securities Market Regulation Course exceeded my expectations! I learned everything from insider trading regulations to market manipulation. It's no surprise I earned my Certified Securities Regulation Specialist (CSRS) designation. Highly recommended!"

David Akram

Certified Securities Regulation Specialist (CSRS)

"It was an amazing experience. Full of fun activities to learn about processes and it was interactive so that everyone is participating. Before, I was hesitant to enroll for this as it was virtual training session due to Lockdown but not regretting it at all now. And the end of the session, I am a certified Securities Market Regulations certificate now with lots of new connections. Thanks Learners Point, for all the support."

Jhonson

Project Security Manager

Our Graduates

Our graduates are from big companies, small, companies, they are founders, career changers and life long learners. Join us and meet your tribe!

FAQs on Securities Market Regulation Course

With the steadily growing market, it is obvious that professionals in the securities market can make a rewarding career. According to the U.S Bureau of Labour Statistics, employment for stock market professionals is projected to rise at a rate of 10%. For professionals who demonstrate expertise in the subject, this profession has plenty of opportunities to offer. Making it the perfect choice of career for aspiring professionals.
The Securities Market act as a major driver in transforming the economy into a more efficient, innovative, and competitive marketplace. This Securities Market Regulations training program provides you with a contextual understanding of regulatory provisions and a sound foundation in the analysis of securities and the systemic importance of securities regulation and put them into practice. This can help you to land in-demand and high-paying jobs.
No, there are no specific pre-requisites to enroll in this Securities Market Regulations program.
At Learners Point, if a participant doesn’t wish to proceed with the training after the registration due to any reason, he or she is entitled to a 100% refund. However, the refund will be issued only if we are notified in writing within 2 days from the date of registration. The refund will be processed within 4 weeks from the day of exit.
Due to the emerging markets and increased trading activities, the demand for securities marketing professionals is increasing in the UAE. This enhances the career prospects for professionals who are skilled in securities market regulations in Dubai. With more open employment positions in the job market, UAE is attracting aspiring professionals looking for a promising career.
The Securities Market Regulations program is designed to equip professionals with a comprehensive understanding of the securities market. It is ideal for:
1) Students of Management and Commerce
2) Security Market Professionals
3) Finance Professionals
4) Employees with banks and financial institutions.
The training at Learners Point is interactive, immersive, and intensive hands-on programs. We offer 3 modes of delivery and participants can choose from instructor-led classroom-based group coaching, one-to-one training session, or high-quality live and interactive online sessions as per convenience.
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