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  • Total Questions: 188
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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:

SectionWeightObjectives
Topic 1: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations14%- Federal Law No. 20 of 2018
Topic 2: Trading11%
Topic 3: Client Protection10%
Topic 4: Licensed Bodies14%- Requirements of capital market institutions
- General provisions
- Licensing financial activities
Topic 5: The Regulatory Infrastructure17%- License categories and requirements (Decision No. 13/Chairman issued 2021)
- Securities & Commodities Authority (SCA)
- Accounting system controls (Decision No. 13/Chairman issued 2021)
- Federal Law No. 4 of 2000
- SCA Resolutions
- Codes of Conduct
- Corporate Governance (Law No. 3 issued Jan 2020)
Topic 6: Markets11%- General background
- Disclosure and Transparency
Topic 7: Dubai Financial Market (DFM)11%
Topic 8: Investment Funds11%- The local fund
- Provisions specific to certain public funds

CISI UAE Financial Rules and Regulations Sample Questions:

1. What happens to a day order to sell on the DFM if it is not executed by the end of that day?

A) The seller can choose to cancel it or hold it over until the next trading session
B) It automatically expires
C) The trader can choose to cancel it or hold it over until the next trading session
D) It is automatically held over


2. A key reason why the regulator applies financial promotion rules is to ensure that:

A) the customers are treated fairly
B) the available product range is maximised
C) the market is kept competitive
D) the impact of operational risk is avoided


3. To qualify as a big block deal on the ADX's E-Trading system, the securities to be traded must be a minimum of what proportion of the issuer's capital?

A) 2.0%
B) 0.5%
C) 2.5%
D) 1.0%


4. Order cancellation can be carried out on the trading system. What happens if the order has already been traded?

A) Execution priority is given
B) The request is rejected
C) The original order is recovered
D) An adjustment is made


5. Why would a transaction to purchase securities be declared null and void?

A) The Authority has levied a penalty for delay of payment
B) The individual is a former employee
C) It was the result of a rumour being spread
D) The investor has a conviction of an offence of dishonour


Solutions:

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

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