Prepare with CISI UAE-Financial-Rules-and-Regulations exam torrent, pass for sure
Last Updated: Oct 10, 2026
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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Licensed Bodies | 14% | - Requirements of capital market institutions - Licensing financial activities - General provisions |
| Topic 2: Client Protection | 10% | |
| Topic 3: The Regulatory Infrastructure | 17% | - License categories and requirements (Decision No. 13/Chairman issued 2021) - Corporate Governance (Law No. 3 issued Jan 2020) - Codes of Conduct - Accounting system controls (Decision No. 13/Chairman issued 2021) - SCA Resolutions - Federal Law No. 4 of 2000 - Securities & Commodities Authority (SCA) |
| Topic 4: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Topic 5: Investment Funds | 11% | - The local fund - Provisions specific to certain public funds |
| Topic 6: Trading | 11% | |
| Topic 7: Dubai Financial Market (DFM) | 11% | |
| Topic 8: Markets | 11% | - General background - Disclosure and Transparency |
CISI UAE Financial Rules and Regulations Sample Questions:
A financial services firm was able to treat client assets as its own without breaching the custody rules. This was because the firm:
- A. Utilised a bank's underlying guarantee
- B. Obtained the client's prior consent
- C. Satisfied the insolvency criteria
- D. Operated on an execution-only basis
Correct Answer: B 🗳️
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Which of the following is an administrative penalty that can be imposed on financial institutions that violate the law and regulations in relation to money laundering and terrorism financing?
- A. A penalty of no less than AED 5,000 and no more than AED 1,000,000 for each violation
- B. A penalty of no less than AED 50,000 and no more than AED 5,000,000 for each violation
- C. A penalty of no less than AED 100,000 and no more than AED 10,000,000 for each violation
- D. A penalty of no less than AED 15,000 and no more than AED 5,000,000 for each violation
Correct Answer: B 🗳️
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Why might employees in one part of a regulated business be permitted to withhold information from employees in another part of the business?
- A. To comply with a Chinese wall
- B. Prevention of insider trading
- C. Strict privacy of client information
- D. At the request of the audit function
Correct Answer: A 🗳️
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If the two evaluators for an in-kind share transfer produce different fair value figures, what figure must be used?
- A. The highest one
- B. The lowest one
- C. The average of the two amounts
- D. The one produced by the most experienced evaluator
Correct Answer: C 🗳️
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During an investigation, what should a licensed body do if it discovers that any of the submitted documents or information are incorrect, misleading or have been changed?
- A. Call an emergency Board meeting and thereafter notify the concerned entity at the Authority
- B. Notify the concerned entity at the Authority or any of the capital market institutions within 5 working days
- C. The Chair and Board of Directors should notify the Authority and tender their resignations
- D. Notify the concerned entity at the Authority or any of the capital market institutions immediately
Correct Answer: D 🗳️
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