Purchase CISI : UAE-Financial-Rules-and-Regulations Exam Materials and then pass exam easily
Last Updated: Nov 04, 2026
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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Licensed Bodies | 14% | - Licensing financial activities - General provisions - Requirements of capital market institutions |
| Dubai Financial Market (DFM) | 11% | |
| The Regulatory Infrastructure | 17% | - License categories and requirements (Decision No. 13/Chairman issued 2021) - Federal Law No. 4 of 2000 - Accounting system controls (Decision No. 13/Chairman issued 2021) - Corporate Governance (Law No. 3 issued Jan 2020) - Codes of Conduct - Securities & Commodities Authority (SCA) - SCA Resolutions |
| Client Protection | 10% | |
| Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Trading | 11% | |
| Markets | 11% | - Disclosure and Transparency - General background |
CISI UAE Financial Rules and Regulations Sample Questions:
The written agreement between a crypto asset custodian and the holders of these assets must set out the procedures that will be adopted to identify and prevent:
- A. The holding of keys by any of its employees
- B. The ownership of the assets by persons who are not qualified investors
- C. The assets being used to disproportionately benefit one investor over another
- D. The execution of multiple instructions in respect of the same transaction
Correct Answer: D 🗳️
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A firm which intends to send advertising material directly to a client has been correctly advised that many of the financial promotion rules are inapplicable. This is because:
- A. The firm offers purely execution-only services
- B. The client is an eligible counterparty
- C. The client is a politically exposed person
- D. The firm has fewer than five full-time employees
Correct Answer: B 🗳️
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The minimum price movement for a West Texas Intermediate (WTI) Light Sweet Oil Futures contract is:
- A. USS 100 per barrel
- B. LISS 0.01 per barrel
- C. USS 25 per barrel
- D. USS 1 per barrel
Correct Answer: B 🗳️
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The founders of a local investment fund must not dispose of the investment units owned by them for a period of at least:
- A. 12 months from the date of foundation
- B. 18 months from the date of foundation
- C. 6 months from the date of foundation
- D. 9 months from the date of foundation
Correct Answer: C 🗳️
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Where the fund prospectus for an investment fund discloses the provision of in-kind shares, it must also state the:
- A. Possibility of subsequent fluctuations in their value
- B. Reason why an evaluation report was not required
- C. Alternative assets that were considered
- D. Specific legislation under which this is permitted
Correct Answer: A 🗳️
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