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CISI UAE Financial Rules and Regulations : UAE-Financial-Rules-and-Regulations
- Exam Code: CISI
- Exam Name: CISI UAE Financial Rules and Regulations Exam
- Updated: Oct 09, 2026
- Q & A: 188 Questions and Answers
About CISI UAE Financial Rules and Regulations : CISI Exam
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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Trading | 20% | - Market integrity and surveillance - Trading rules and mechanisms - Reporting and compliance requirements |
| Market Conduct Legislation and Regulation | 28% | - Financial crime, AML and CFT regulations - Disclosure and transparency obligations - Insider dealing and market abuse |
| Associated Market and Securities Legislation and Practice | 6% | - Market operation rules - Securities laws and regulations - Legal obligations of market participants |
| Markets | 10% | - UAE exchanges: DFM, ADX, NASDAQ Dubai - Listing and admission requirements - Trading and settlement rules |
| Client Protection | 20% | - Communications, reporting and complaints handling - Client assets and money protection - Client identification and classification |
| Authorised Persons | 6% | - Licensing and authorization requirements - Obligations of authorized firms and individuals - Conduct of business rules |
| The Regulatory Infrastructure | 10% | - Roles and powers of regulators - Legislative framework and regulatory objectives - Regulatory bodies: SCA, CBUAE, DFSA, FSRA |
CISI UAE Financial Rules and Regulations Sample Questions:
Question #1
The minimum paid-up capital requirement for credit rating agencies is:
- A. AED 50 million
- B. AED 10 million
- C. AED 30 million
- D. AED 5 million
Correct Answer: D 🗳️
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Question #2
When a firm applies for a licence, it is only necessary to provide an exit strategy plan covering contract termination with an outsourced party if the firm intends to:
- A. Enter into a contract which is not legally enforceable
- B. Enter into a contract for five or more years
- C. Use a service based outside the State
- D. Use cloud computing services
Correct Answer: D 🗳️
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Question #3
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. Compliance Officer
- C. Broker Representative
- D. Trading Manager
Correct Answer: C 🗳️
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Question #4
Following an IPO, within how many business days from the date of the registration certificate issued by the Authority must the Special Purpose Acquisition Company submit a request to the market to list the shares and warrants issued by it?
- A. Five
- B. Three
- C. Two
- D. One
Correct Answer: B 🗳️
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Question #5
What proportion of the market value of securities owned by a brokerage company are used to increase the value of its guarantee?
- A. 70%
- B. 80%
- C. 50%
- D. 60%
Correct Answer: A 🗳️
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