CISI UAE-Financial-Rules-and-Regulations Q&A - in .pdf

  • UAE-Financial-Rules-and-Regulations pdf
  • Exam Code: UAE-Financial-Rules-and-Regulations
  • Exam Name: CISI UAE Financial Rules and Regulations Exam
  • Updated: Aug 20, 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
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  • Updated: Aug 20, 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
  • Updated: Aug 20, 2026
  • Q & A: 102 Questions and Answers
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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:

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

CISI UAE Financial Rules and Regulations Sample Questions:

1. A firm offering custody, clearing and recording, is required to have a minimum paid-up capital of:

A) AED 150 million
B) AED 30 million
C) AED 50 million
D) AED 100 million


2. A public real estate investment fund must distribute at least what percentage of the achieved net profits every year, to the holders of its units?

A) 100%
B) 50%
C) 80%
D) 75%


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

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


4. Which of the following customer due diligence measures should be taken if a client is a foreign politically exposed person?

A) Conduct a prescribed risk / benefit analysis
B) Examine the latest Interpol watch list
C) Seek Authority approval to proceed
D) Attempt to establish the source of the funds


5. If there is a material change in the nature of the relevant software, the regulations state that investors who have accepted an offer of crypto assets must be notified:

A) promptly in advance
B) within no less than 14 days
C) immediately after implementation
D) within no less than 7 days


Solutions:

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

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