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

UAE-Financial-Rules-and-Regulations Exam Simulator
  • Exam Code: UAE-Financial-Rules-and-Regulations
  • Exam Name: CISI UAE Financial Rules and Regulations Exam
  • Updated: Aug 22, 2026
  • Q & A: 102 Questions and Answers
  • CISI UAE-Financial-Rules-and-Regulations Q&A - in .pdf

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

SectionWeightObjectives
Topic 1: The Regulatory Infrastructure10%- Roles and powers of regulators
- Legislative framework and regulatory objectives
- Regulatory bodies: SCA, CBUAE, DFSA, FSRA
Topic 2: Trading20%- Trading rules and mechanisms
- Reporting and compliance requirements
- Market integrity and surveillance
Topic 3: Market Conduct Legislation and Regulation28%- Insider dealing and market abuse
- Financial crime, AML and CFT regulations
- Disclosure and transparency obligations
Topic 4: Client Protection20%- Client assets and money protection
- Client identification and classification
- Communications, reporting and complaints handling
Topic 5: Associated Market and Securities Legislation and Practice6%- Legal obligations of market participants
- Market operation rules
- Securities laws and regulations
Topic 6: Authorised Persons6%- Conduct of business rules
- Obligations of authorized firms and individuals
- Licensing and authorization requirements
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. 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) The Chair and Board of Directors should notify the Authority and tender their resignations
B) Notify the concerned entity at the Authority or any of the capital market institutions immediately
C) Call an emergency Board meeting and thereafter notify the concerned entity at the Authority
D) Notify the concerned entity at the Authority or any of the capital market institutions within 5 working days


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) Auditors
C) Founders
D) Evaluators


3. The approved job for conducting securities dealing is:

A) Operations Manager
B) Broker Representative
C) Category Manager
D) Trading Manager


4. If an issuer provides its shareholders with bonus shares, then the CSD Department will deposit the bonus shares issued in the account and will register them as a whole, round number. What happens in the case that there are fractions of shares?

A) They are totalled up and put in a suspense account
B) The issuing company must sell them within 45 days
C) The issuing company must sell them within 30 days
D) These are also added to the shareholder's account


5. In order to be authorised to deal in investments, which of the following professional roles would the Authority expect to see within the firm?

A) Operations Manager
B) Broker Representative
C) Compliance Officer
D) Trading Manager


Solutions:

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

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