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- Exam Code: UAE-Financial-Rules-and-Regulations
- Exam Name: CISI UAE Financial Rules and Regulations Exam
- Updated: Sep 11, 2026
- Q & A: 188 Questions and Answers
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- Exam Code: UAE-Financial-Rules-and-Regulations
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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Markets | 10% | - UAE exchanges: DFM, ADX, NASDAQ Dubai - Trading and settlement rules - Listing and admission requirements |
| Associated Market and Securities Legislation and Practice | 6% | - Legal obligations of market participants - Securities laws and regulations - Market operation rules |
| Trading | 20% | - Trading rules and mechanisms - Reporting and compliance requirements - Market integrity and surveillance |
| The Regulatory Infrastructure | 10% | - Roles and powers of regulators - Legislative framework and regulatory objectives - Regulatory bodies: SCA, CBUAE, DFSA, FSRA |
| Market Conduct Legislation and Regulation | 28% | - Financial crime, AML and CFT regulations - Disclosure and transparency obligations - Insider dealing and market abuse |
| Authorised Persons | 6% | - Conduct of business rules - Licensing and authorization requirements - Obligations of authorized firms and individuals |
| Client Protection | 20% | - Communications, reporting and complaints handling - Client identification and classification - Client assets and money protection |
CISI UAE Financial Rules and Regulations Sample Questions:
Question #1
The disclosure of a licensed body's legal status, including the fact that it is licensed by the Authority, is important because:
- A. it allows third party firms to use, utilise, or copy the Authority's logo for any reason and this reassures clients
- B. it forces firms to disclose their regulatory status and that they are subject to the Authority's control and supervision
- C. it enables those that might suffer from perceived or actual misbehaviour at the hands of a firm to raise their concerns with the regulator
- D. it ensures that no clients suffer from perceived or actual misbehaviour at the hands of a firm which is regulated
Answer: C
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Question #2
The Board of a securities market wished to suspend a rule relating to the operations of that market, why was it unable to do so?
- A. A 30-day notice was not provided
- B. The majority of the board was not present
- C. It failed to seek permission from the Authority
- D. An Authority penalty was pending
Answer: C
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Question #3
Which of the following is a sanction available to the Authority in the event of a violation of its provisions?
- A. Impose a financial fine of not less than AED 100,000
- B. Impose a financial fine of not more than AED 100,000
- C. Suspend the licensed body for a period of two years
- D. Suspend any financial activity practised during an investigation
Answer: A
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Question #4
A Special Purpose Acquisition Company which wants to make its shares available to the public intends to appoint a risk consultant, a listing consultant and a financial consultant. Which of these appointments is required under the regulations?
- A. Listing consultant and financial consultant only
- B. Risk consultant and listing consultant only
- C. Risk consultant, listing consultant and financial consultant
- D. Financial consultant and risk consultant only
Answer: A
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Question #5
There is a regulatory obligation placed on the evaluator of an investment fund's in-kind shares to indicate whether the shares:
- A. Can be liquidated or not
- B. Are capital-growth or income-orientated
- C. Represent short- or long-term assets
- D. Were acquired at a discount or not
Answer: A
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