CISI UAE-Financial-Rules-and-Regulations Exam : CISI UAE Financial Rules and Regulations Exam

  • Exam Code: UAE-Financial-Rules-and-Regulations
  • Exam Name: CISI UAE Financial Rules and Regulations Exam
  • Updated: Sep 20, 2026
  • Q & A: 188 Questions and Answers

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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:

SectionWeightObjectives
Topic 1: Markets10%- Listing and admission requirements
- Trading and settlement rules
- UAE exchanges: DFM, ADX, NASDAQ Dubai
Topic 2: Market Conduct Legislation and Regulation28%- Financial crime, AML and CFT regulations
- Insider dealing and market abuse
- Disclosure and transparency obligations
Topic 3: Authorised Persons6%- Conduct of business rules
- Obligations of authorized firms and individuals
- Licensing and authorization requirements
Topic 4: Associated Market and Securities Legislation and Practice6%- Market operation rules
- Legal obligations of market participants
- Securities laws and regulations
Topic 5: The Regulatory Infrastructure10%- Regulatory bodies: SCA, CBUAE, DFSA, FSRA
- Legislative framework and regulatory objectives
- Roles and powers of regulators
Topic 6: Client Protection20%- Client identification and classification
- Communications, reporting and complaints handling
- Client assets and money protection
Topic 7: Trading20%- Market integrity and surveillance
- Trading rules and mechanisms
- Reporting and compliance requirements

CISI UAE Financial Rules and Regulations Sample Questions:

Question #1

An introducer approved by the Authority is obliged to obtain further approval before:

  • A. Conducting any introduction business outside the UAE
  • B. Approaching legal entities to arrange an introduction
  • C. Receiving any commission payments
  • D. Asking clients to provide new business referrals
Reveal Solution  Discussion  0

Correct Answer: A  🗳️

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Question #2

A fund manager is considering investing in medium-term bonds, commercial papers, and deposit certificates.
Under the regulations, which of these can be held under a cash investment fund?

  • A. Commercial papers and deposit certificates only
  • B. Deposit certificates and medium-term bonds only
  • C. Medium-term bonds, commercial papers and deposit certificates
  • D. Medium-term bonds and commercial papers only
Reveal Solution  Discussion  0

Correct Answer: A  🗳️

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Question #3

The regulations regarding Key Investor Information Documents for self-managed funds will be breached if the document includes:

  • A. Disposal information
  • B. Reference to any guarantees
  • C. Complaints information
  • D. Reference to any evaluation
Reveal Solution  Discussion  0

Correct Answer: B  🗳️

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Question #4

Why would the Authority board resolve temporarily to halt trading in the shares of any company?

  • A. A threat to the proper and regular working of that market arises
  • B. A written complaint is made relating to a market activity
  • C. It transpires that the spouse of a board member is a director of that entity
  • D. It does not have the technical equipment necessary to conduct its activity electronically
Reveal Solution  Discussion  0

Correct Answer: A  🗳️

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Question #5

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:

  • A. The status of the investor's bank account
  • B. The size of the investor's portfolio
  • C. The nationality of the investor
  • D. The tax status of the investor
Reveal Solution  Discussion  0

Correct Answer: C  🗳️

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