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UAE-Financial-Rules-and-Regulations Q&A - in .pdf
- Exam Code: UAE-Financial-Rules-and-Regulations
- Exam Name: CISI UAE Financial Rules and Regulations Exam
- Updated: Sep 10, 2026
- Q & A: 188 Questions and Answers
- Convenient, easy to study.
Printable CISI UAE-Financial-Rules-and-Regulations PDF Format. It is an electronic file format regardless of the operating system platform.
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- Updated: Sep 10, 2026
- Q & A: 188 Questions and Answers
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UAE-Financial-Rules-and-Regulations Q&A - Testing Engine
- Exam Code: UAE-Financial-Rules-and-Regulations
- Exam Name: CISI UAE Financial Rules and Regulations Exam
- Updated: Sep 10, 2026
- Q & A: 188 Questions and Answers
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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Trading | 11% | |
| Markets | 11% | - General background - Disclosure and Transparency |
| Dubai Financial Market (DFM) | 11% | |
| The Regulatory Infrastructure | 17% | - SCA Resolutions - Accounting system controls (Decision No. 13/Chairman issued 2021) - Corporate Governance (Law No. 3 issued Jan 2020) - Federal Law No. 4 of 2000 - License categories and requirements (Decision No. 13/Chairman issued 2021) - Codes of Conduct - Securities & Commodities Authority (SCA) |
| Licensed Bodies | 14% | - General provisions - Requirements of capital market institutions - Licensing financial activities |
| Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Client Protection | 10% | |
| Investment Funds | 11% | - The local fund - Provisions specific to certain public funds |
CISI UAE Financial Rules and Regulations Sample Questions:
Question #1
If there is a material change in the nature of the relevant software, the regulations state that investors who have accepted an offer of crypto assets must be notified:
- A. within no less than 14 days
- B. within no less than 7 days
- C. promptly in advance
- D. immediately after implementation
Answer: C
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Question #2
A brokerage firm's records include client agreements, selling orders and accounts. Under the Professional Code of Conduct, which of these does the DFM have the right to access and review?
- A. Client agreements and selling orders only
- B. Accounts and client agreements only
- C. Client agreements, selling orders and accounts
- D. Selling orders and accounts only
Answer: C
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Question #3
When promoting private funds, related materials must:
- A. refrain from using public advertisement media of certain types, including audio and video, with the exception of read media
- B. clarify the private fund's specific nature and include the required disclaimer laid down by the Authority
- C. advise that the funds cannot be transferred to a third party
- D. receive prior approval of the content from the Authority
Answer: B
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Question #4
In a ranking and advice firm, which approved job role would undertake the activities of a listing consultant?
- A. Compliance Officer
- B. Trading and Clearing Broker
- C. Financial Analyst
- D. Broker Representative
Answer: C
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Question #5
As part of its obligations under the Authority regulations, a commodities CCP carries out periodic back tests.
Why are these tests required?
- A. To find the correct level of default-fund contributions
- B. To avoid the need for regular stress testing
- C. To ensure stress-test scenarios are adequate
- D. To establish the extreme limits of default-fund tolerance
Answer: C
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