CISI UAE-Financial-Rules-and-Regulations : CISI UAE Financial Rules and Regulations Exam

UAE-Financial-Rules-and-Regulations real exams

Exam Code: UAE-Financial-Rules-and-Regulations

Exam Name: CISI UAE Financial Rules and Regulations Exam

Updated: Aug 18, 2026

Q & A: 102 Questions and Answers

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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:

SectionObjectives
Financial Conduct and Compliance- Conduct of business standards
  • 1. Client suitability and disclosure obligations
    • 2. Fair dealing and market integrity principles
      - Compliance and supervision
      • 1. Internal controls and governance
        • 2. Compliance monitoring frameworks
          Regulatory Ethics and Professional Standards- Regulatory accountability
          • 1. Regulatory reporting obligations
            • 2. Responsibilities of financial professionals
              - Ethical standards in financial services
              • 1. Conflicts of interest management
                • 2. Professional integrity expectations
                  UAE Financial Regulatory Framework- Federal financial regulation structure
                  • 1. Overview of UAE financial governance bodies
                    • 2. Roles of central financial authorities
                      - Securities and investment regulation
                      • 1. Regulation of securities markets in the UAE
                        • 2. Market conduct and compliance requirements
                          Anti-Money Laundering and Financial Crime- Financial crime prevention
                          • 1. Sanctions compliance obligations
                            • 2. Fraud prevention controls
                              - AML/CFT requirements in the UAE
                              • 1. Customer due diligence (CDD) and KYC
                                • 2. Suspicious transaction reporting

                                  CISI UAE Financial Rules and Regulations Sample Questions:

                                  1. 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%


                                  2. When establishing a local investment fund, how much are the founders required to subscribe?

                                  A) At least 20 million dirhams
                                  B) At least 5 million dirhams
                                  C) At least 1 million dirhams
                                  D) At least 10 million dirhams


                                  3. An error was made by a broker which led to a trade being conducted using the wrong trading account number.
                                  If the trader submitted a request to have the number amended 40 minutes after the end of the trading session, the amendment would only be made if:

                                  A) the correction is within a 5% error margin
                                  B) the circumstances are considered to be exceptional
                                  C) an alteration fee is paid at the same time
                                  D) an impact assessment gives acceptable results


                                  4. For all local funds, a semi-annual report on the public fund's performance must be prepared no later than:

                                  A) 30 days from the end of the financial year
                                  B) 2 months from the end of the semi-annual period
                                  C) 45 days from the end of the semi-annual period
                                  D) 2 months from the end of the financial year


                                  5. A public joint-stock company is automatically prevented by the regulations from executing a buyback transaction if it:

                                  A) issued shares in a public offer in the last six months
                                  B) was incorporated in the last three years
                                  C) has been designated a company of State importance
                                  D) is formally classed as an insurance company


                                  Solutions:

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

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