CISI UAE-Financial-Rules-and-Regulations valid - in .pdf

UAE-Financial-Rules-and-Regulations pdf
  • Exam Code: UAE-Financial-Rules-and-Regulations
  • Exam Name: CISI UAE Financial Rules and Regulations Exam
  • Updated: Jul 31, 2026
  • Q & A: 102 Questions and Answers
  • PDF Price: $59.99
  • Free Demo

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  • Exam Code: UAE-Financial-Rules-and-Regulations
  • Exam Name: CISI UAE Financial Rules and Regulations Exam
  • Q & A: 102 Questions and Answers
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UAE-Financial-Rules-and-Regulations Testing Engine
  • Exam Code: UAE-Financial-Rules-and-Regulations
  • Exam Name: CISI UAE Financial Rules and Regulations Exam
  • Q & A: 102 Questions and Answers
  • Software Price: $59.99
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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:

SectionWeightObjectives
Topic 1: Dubai Financial Market (DFM)11%
Topic 2: Trading11%
Topic 3: Markets11%- General background
- Disclosure and Transparency
Topic 4: The Regulatory Infrastructure17%- Corporate Governance (Law No. 3 issued Jan 2020)
- Accounting system controls (Decision No. 13/Chairman issued 2021)
- SCA Resolutions
- Federal Law No. 4 of 2000
- Codes of Conduct
- Securities & Commodities Authority (SCA)
- License categories and requirements (Decision No. 13/Chairman issued 2021)
Topic 5: Licensed Bodies14%- Requirements of capital market institutions
- General provisions
- Licensing financial activities
Topic 6: Investment Funds11%- The local fund
- Provisions specific to certain public funds
Topic 7: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations14%- Federal Law No. 20 of 2018
Topic 8: Client Protection10%

CISI UAE Financial Rules and Regulations Sample Questions:

1. A licensed person who conducts financial activities related to security tokens is required to carry out a suitability check only if:

A) the licensed person has less than 3 years' relevant experience
B) the amount being invested exceeds AED 100,000
C) the client is not a qualified investor
D) the token falls into the high risk category


2. Establishing a local investment fund requires the approval of the Authority, for a public fund this will either be granted or rejected within:

A) 5 working days
B) 30 working days
C) 10 working days
D) 20 working days


3. The Depository Centre must periodically report to the Authority on shareholders who hold more than what threshold percentage of equity in the Centre's capital?

A) 10%
B) 3%
C) 5%
D) 15%


4. If the mid-point is used to determine the theoretical auction price for a pre-closing session of the DFM, it is:

A) rounded to two decimal places
B) rounded down to the nearest price tick
C) rounded up to the nearest price tick
D) rounded to one decimal place


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

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


Solutions:

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

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