Exam Name: CISI UAE Financial Rules and Regulations Exam
Certification Provider: CISI
Corresponding Certification: Investment Operations Certificate (IOC)
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Updated: Oct 10, 2026
No. of Questions: 188 Questions & Answers with Testing Engine
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UAE-Financial-Rules-and-Regulations PDF Practice Q&A's
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- Total Questions: 188
- Updated on: Oct 10, 2026
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CISI UAE-Financial-Rules-and-Regulations Exam Overview:
| Certification Vendor: | CISI |
|---|---|
| Exam Name: | UAE Financial Rules and Regulations |
| Exam Number: | UAE-RR |
| Exam Format: | Multiple Choice |
| Exam Duration: | 120 minutes |
| Available Languages: | English |
| Passing Score: | 70% |
| Real Exam Qty: | 100 |
| Sample Questions: | DOWNLOAD DEMO |
| Exam Way: | Computer Based Testing (CBT) |
| Official Syllabus URL: | https://www.cisi.org/go/uae-financial-rules-and-regulations |
CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Dubai Financial Market (DFM) | 11% | |
| Topic 2: Client Protection | 10% | |
| Topic 3: Licensed Bodies | 14% | - General provisions - Licensing financial activities - Requirements of capital market institutions |
| Topic 4: The Regulatory Infrastructure | 17% | - License categories and requirements (Decision No. 13/Chairman issued 2021) - Federal Law No. 4 of 2000 - Codes of Conduct - Securities & Commodities Authority (SCA) - Accounting system controls (Decision No. 13/Chairman issued 2021) - Corporate Governance (Law No. 3 issued Jan 2020) - SCA Resolutions |
| Topic 5: Investment Funds | 11% | - The local fund - Provisions specific to certain public funds |
| Topic 6: Trading | 11% | |
| Topic 7: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Topic 8: Markets | 11% | - General background - Disclosure and Transparency |
CISI UAE Financial Rules and Regulations Exam FAQ — Direct Answers
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The CISI UAE Financial Rules and Regulations is CISI's certification exam for Investment Operations Certificate (IOC), at the Intermediate level. It validates applied skills employers hire for — a credential worth the effort. Related credentials include .
The CISI UAE Financial Rules and Regulations blueprint covers 8 domains — including Dubai Financial Market (DFM) (11%), Markets (11%), Client Protection (10%). The weightings are your efficiency map: heavy domains first. Every subtopic appears in the outline above.
Yes — download the free CISI UAE Financial Rules and Regulations demo and judge the question quality before paying. Every purchase stays valid for 365 days with free updates throughout, renewable afterward at 50% off.
CISI UAE Financial Rules and Regulations Sample Questions:
Where a pledge request is submitted to the CSD Department, the details provided on the relevant form must include:
- A. The reason for the arrangement
- B. The duration of the arrangement
- C. The agreed default option
- D. The party entitled to the profits
Correct Answer: D 🗳️
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As part of its obligations under the Authority regulations, a commodities CCP carries out periodic back tests.
Why are these tests required?
- A. To find the correct level of default-fund contributions
- B. To ensure stress-test scenarios are adequate
- C. To avoid the need for regular stress testing
- D. To establish the extreme limits of default-fund tolerance
Correct Answer: B 🗳️
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Within what maximum period following approval of the listing of a security must the Depository Centre install a terminal device giving the listing entity access to the register?
- A. 3 weeks
- B. 15 days
- C. 3 days
- D. 1 week
Correct Answer: D 🗳️
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A fund manager is considering investing in medium-term bonds, commercial papers, and deposit certificates.
Under the regulations, which of these can be held under a cash investment fund?
- A. Medium-term bonds and commercial papers only
- B. Deposit certificates and medium-term bonds only
- C. Commercial papers and deposit certificates only
- D. Medium-term bonds, commercial papers and deposit certificates
Correct Answer: C 🗳️
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The approved job for conducting securities dealing is:
- A. Operations Manager
- B. Trading Manager
- C. Broker Representative
- D. Category Manager
Correct Answer: C 🗳️
Explanation: Only visible for PremiumVCEDump members. You can sign-up / login (it's free).
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