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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 26, 2026
  • Q & A: 188 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: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations14%- Federal Law No. 20 of 2018
Topic 2: Markets11%- General background
- Disclosure and Transparency
Topic 3: Trading11%
Topic 4: Dubai Financial Market (DFM)11%
Topic 5: The Regulatory Infrastructure17%- License categories and requirements (Decision No. 13/Chairman issued 2021)
- SCA Resolutions
- Securities & Commodities Authority (SCA)
- Federal Law No. 4 of 2000
- Codes of Conduct
- Accounting system controls (Decision No. 13/Chairman issued 2021)
- Corporate Governance (Law No. 3 issued Jan 2020)
Topic 6: Client Protection10%
Topic 7: Licensed Bodies14%- Requirements of capital market institutions
- General provisions
- Licensing financial activities
Topic 8: Investment Funds11%- Provisions specific to certain public funds
- The local fund

CISI UAE Financial Rules and Regulations Sample Questions:

1. Firms providing investment management services must provide periodic statements to retail clients, in normal circumstances at least every:

A) 3 months
B) month
C) 6 months
D) 12 months


2. The watch list, which is monitored by an Authority-established committee, consists of which group of companies?

A) Companies in the second category
B) Companies in the first category
C) All public companies which have declared losses in the last 12 months
D) All private companies which have declared losses in the last 12 months


3. An in-kind shares evaluation report must be based on data covering what maximum period before the evaluation date?

A) Two months
B) Four months
C) One month
D) Three months


4. If the listing of a debt security is suspended for more than six months, what action is the Authority entitled to take?

A) Place the listing on an at-risk register
B) Demand an immediate recovery plan from the issuer
C) Cancel the listing
D) Levy a fine against the issuer


5. The regulations regarding Key Investor Information Documents for self-managed funds will be breached if the document includes:

A) Disposal information
B) Reference to any guarantees
C) Reference to any evaluation
D) Complaints information


Solutions:

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

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