Prepare with CISI UAE-Financial-Rules-and-Regulations exam practice material, pass for sure
Updated: Oct 10, 2026
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CISI UAE-Financial-Rules-and-Regulations Exam Overview:
| Certification Vendor: | CISI |
|---|---|
| Exam Name: | CISI UAE Financial Rules and Regulations Exam |
| Exam Number: | UAE-Financial-Rules-and-Regulations |
| Available Languages: | English |
| Recommended Training: | CISI Learning and Qualifications |
| Exam Registration: | CISI Official Website |
| Sample Questions: | CISI UAE-Financial-Rules-and-Regulations Sample Questions |
| Exam Way: | Typically delivered via CISI approved examination centers or online proctored delivery (varies by region and provider arrangement). |
| Pre Condition: | No formal prerequisite specified; recommended basic understanding of financial services regulation. |
| Official Syllabus URL: | https://www.cisi.org |
CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Anti-Money Laundering and Financial Crime | - AML/CFT requirements in the UAE
|
| UAE Financial Regulatory Framework | - Federal financial regulation structure
|
| Regulatory Ethics and Professional Standards | - Ethical standards in financial services
|
| Financial Conduct and Compliance | - Conduct of business standards
|
CISI UAE Financial Rules and Regulations Sample Questions:
The disclosure of a licensed body's legal status, including the fact that it is licensed by the Authority, is important because:
- A. it enables those that might suffer from perceived or actual misbehaviour at the hands of a firm to raise their concerns with the regulator
- B. it allows third party firms to use, utilise, or copy the Authority's logo for any reason and this reassures clients
- C. it forces firms to disclose their regulatory status and that they are subject to the Authority's control and supervision
- D. it ensures that no clients suffer from perceived or actual misbehaviour at the hands of a firm which is regulated
Correct Answer: A 🗳️
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Within what period after the date of closing subscriptions must the fund manager and the founders of a self- managed fund submit a certificate of completion from the auditor?
- A. 5 days
- B. 15 days
- C. 10 days
- D. 30 days
Correct Answer: D 🗳️
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When collecting data from official authorities, evaluators of investment fund in-kind shares are required to abide by the principles of honesty, justice and:
- A. equality
- B. governance
- C. confidentiality
- D. prudence
Correct Answer: C 🗳️
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A Special Purpose Acquisition Company deposited 95% of its public subscription proceeds into an escrow account. It is permitted to use this money to:
- A. Meet recovery requests by the investors
- B. Finance an internal restructuring programme
- C. Fund the issue of additional shares
- D. Hedge against adverse market movements
Correct Answer: A 🗳️
An in-kind shares evaluation report must be based on data covering what maximum period before the evaluation date?
- A. One month
- B. Two months
- C. Four months
- D. Three months
Correct Answer: D 🗳️
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