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CISI UAE-Financial-Rules-and-Regulations Braindumps - in .pdf Free Demo

  • Exam Code: UAE-Financial-Rules-and-Regulations
  • Exam Name: CISI UAE Financial Rules and Regulations Exam
  • Last Updated: Aug 19, 2026
  • Q & A: 102 Questions and Answers
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  • Exam Code: UAE-Financial-Rules-and-Regulations
  • Exam Name: CISI UAE Financial Rules and Regulations Exam
  • Last Updated: Aug 19, 2026
  • Q & A: 102 Questions and Answers
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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:

SectionWeightObjectives
Trading20%- Market integrity and surveillance
- Trading rules and mechanisms
- Reporting and compliance requirements
Authorised Persons6%- Conduct of business rules
- Licensing and authorization requirements
- Obligations of authorized firms and individuals
Markets10%- Trading and settlement rules
- UAE exchanges: DFM, ADX, NASDAQ Dubai
- Listing and admission requirements
Market Conduct Legislation and Regulation28%- Insider dealing and market abuse
- Financial crime, AML and CFT regulations
- Disclosure and transparency obligations
Associated Market and Securities Legislation and Practice6%- Securities laws and regulations
- Market operation rules
- Legal obligations of market participants
The Regulatory Infrastructure10%- Legislative framework and regulatory objectives
- Roles and powers of regulators
- Regulatory bodies: SCA, CBUAE, DFSA, FSRA
Client Protection20%- Client identification and classification
- Client assets and money protection
- Communications, reporting and complaints handling

CISI UAE Financial Rules and Regulations Sample Questions:

1. When updating their money laundering compliance framework, firms involved in crypto assets are required to take into account the recommendations of which body?

A) World Bank
B) Financial Action Task Force
C) United Nations Office on Drugs and Crime
D) Bank for International Settlements


2. A vote carried out by the board of the Authority resulted in a tie. What happens in these circumstances?

A) The vote against the resolution is automatically carried
B) The chairman or their deputy is granted the casting vote
C) The vote for the resolution is automatically carried
D) The decision is postponed until another vote can be taken


3. If an offering person arranges the issuance of crypto assets for which funds have been subscribed by investors, controls must be set up to avoid:

A) prices being determined at the discretion of the issuer
B) prices being allowed to fluctuate during the opening offer period
C) subscriptions being taken at different threshold levels
D) subscriptions being taken at excessive levels from non-qualified investors


4. In cases where securities are bought and sold during the same trading session, the client must have in its cash account enough:

A) securities to the value of purchase
B) credit to cover the value of sale
C) credit to cover the value of purchase
D) credit to cover the value of any losses


5. The minimum paid-up capital requirement for ranking and advice firms is:

A) AED 30 million
B) AED 5 million
C) AED 50 million
D) none


Solutions:

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

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