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CISI UAE Financial Rules and Regulations : UAE-Financial-Rules-and-Regulations
- Exam Code: UAE-Financial-Rules-and-Regulations
- Exam Name: CISI UAE Financial Rules and Regulations Exam
- Updated: Sep 12, 2026 Q&As: 188 Questions and Answers
- Q & A: 188 Questions and Answers
About CISI UAE Financial Rules and Regulations : UAE-Financial-Rules-and-Regulations Exam
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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Markets | 10% | - UAE exchanges: DFM, ADX, NASDAQ Dubai - Listing and admission requirements - Trading and settlement rules |
| Topic 2: Market Conduct Legislation and Regulation | 28% | - Financial crime, AML and CFT regulations - Insider dealing and market abuse - Disclosure and transparency obligations |
| Topic 3: Trading | 20% | - Trading rules and mechanisms - Reporting and compliance requirements - Market integrity and surveillance |
| Topic 4: Client Protection | 20% | - Communications, reporting and complaints handling - Client assets and money protection - Client identification and classification |
| Topic 5: Associated Market and Securities Legislation and Practice | 6% | - Market operation rules - Securities laws and regulations - Legal obligations of market participants |
| Topic 6: The Regulatory Infrastructure | 10% | - Roles and powers of regulators - Legislative framework and regulatory objectives - Regulatory bodies: SCA, CBUAE, DFSA, FSRA |
| Topic 7: Authorised Persons | 6% | - Licensing and authorization requirements - Conduct of business rules - Obligations of authorized firms and individuals |
CISI UAE Financial Rules and Regulations Sample Questions:
Question #1
Where a financial analyst wants to conduct a personal transaction which relates to investment research being undertaken, what additional requirement is normally imposed?
- A. Signing of a non-conflict disclaimer
- B. Signing of a guarantee undertaking
- C. Approval from the Authority or Central Bank
- D. Approval from the firm's legal or compliance department
Correct Answer: D 🗳️
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Question #2
An in-kind shares evaluation report must be based on data covering what maximum period before the evaluation date?
- A. Two months
- B. Three months
- C. One month
- D. Four months
Correct Answer: B 🗳️
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Question #3
The main purpose of the committee established by the Authority to monitor companies on the watch list is to ensure that they:
- A. Comply with the disclosure and listing requirements
- B. Treat all shareholders on a fair and equitable basis
- C. Follow all money laundering and terrorist financing laws
- D. Publish regular updates on their accumulated losses
Correct Answer: A 🗳️
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Question #4
A public joint-stock company is automatically prevented by the regulations from executing a buyback transaction if it:
- A. is formally classed as an insurance company
- B. issued shares in a public offer in the last six months
- C. was incorporated in the last three years
- D. has been designated a company of State importance
Correct Answer: B 🗳️
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Question #5
Where an applicant for a financial activities licence uses a cloud-based server, they must set out provisions to ensure the outsourced party can operate with zero data loss for what stated period?
- A. Five years
- B. Three years
- C. Ten years
- D. Seven years
Correct Answer: A 🗳️
Explanation: Only visible for DumpsTests members. You can sign-up / login (it's free).
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