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

  • Exam Code: UAE-Financial-Rules-and-Regulations
  • Exam Name: CISI UAE Financial Rules and Regulations Exam
  • Updated: Aug 19, 2026
  • Q & A: 102 Questions and Answers

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

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

CISI UAE Financial Rules and Regulations Sample Questions:

1. 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


2. If in-kind shares are provided when the fund is founded; if the subscription fails and there is no special agreement, who would bear the expenses?

A) Share providers
B) Evaluators
C) Founders
D) Auditors


3. Where a brokerage firm on the DFM has a client with a debit balance, the regulations prevent the firm from:

A) providing investment advice to the client
B) paying any cash to the client
C) selling securities on the client's behalf
D) accepting new orders from the client


4. Following a public subscription, what must a Special Purpose Acquisition Company do with the proceeds?

A) Deposit not less than 90% of the public subscription proceeds within one business day of receipt
B) Deposit not less than 90% of the public subscription proceeds within two business days of receipt
C) Deposit not less than 100% of the public subscription proceeds within one business day of receipt
D) Deposit not less than 100% of the public subscription proceeds within two business days of receipt


5. The Corporate Governance Guide automatically allows board members of public joint-stock companies to accept gifts up to what maximum stated value?

A) AED 300
B) AED 200
C) AED 500
D) AED 100


Solutions:

Question # 1
Answer: A
Question # 2
Answer: C
Question # 3
Answer: D
Question # 4
Answer: C
Question # 5
Answer: A

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