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: Aug 01, 2026
  • Q & A: 102 Questions and Answers

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

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

CISI UAE Financial Rules and Regulations Sample Questions:

1. When a company applies to become a Special Purpose Acquisition Company, its sponsors must prepare proposals to:

A) deal with succession planning
B) identify potential money laundering
C) manage conflicts of interest
D) reduce the risk to investors


2. The role of the authorised agent of the exchange-traded fund (ETF) is to:

A) ensure that the transfer of ownership of units is completed
B) regularly announce the indicative value of the net value of assets
C) announce the net value of the unit's assets on a daily basis
D) update sell and buy orders


3. 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


4. When establishing a local investment fund, how much are the founders required to subscribe?

A) At least 20 million dirhams
B) At least 10 million dirhams
C) At least 5 million dirhams
D) At least 1 million dirhams


5. Where a client is a legal person, the customer due diligence obligations require verification of identity for any natural persons holding what minimum controlling ownership interest?

A) 25%
B) 3%
C) 51%
D) 10%


Solutions:

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

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