- Exam Code: UAE-Financial-Rules-and-Regulations
- Exam Name: CISI UAE Financial Rules and Regulations Exam
- Updated: Aug 29, 2026
- Q & A: 188 Questions and Answers
CISI UAE Financial Rules and Regulations : UAE-Financial-Rules-and-Regulations exam
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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Markets | 10% | - Trading and settlement rules - UAE exchanges: DFM, ADX, NASDAQ Dubai - Listing and admission requirements |
| Associated Market and Securities Legislation and Practice | 6% | - Market operation rules - Legal obligations of market participants - Securities laws and regulations |
| Authorised Persons | 6% | - Licensing and authorization requirements - Conduct of business rules - Obligations of authorized firms and individuals |
| Client Protection | 20% | - Client identification and classification - Communications, reporting and complaints handling - Client assets and money protection |
| Market Conduct Legislation and Regulation | 28% | - Financial crime, AML and CFT regulations - Disclosure and transparency obligations - Insider dealing and market abuse |
| The Regulatory Infrastructure | 10% | - Roles and powers of regulators - Legislative framework and regulatory objectives - Regulatory bodies: SCA, CBUAE, DFSA, FSRA |
| Trading | 20% | - Reporting and compliance requirements - Market integrity and surveillance - Trading rules and mechanisms |
CISI UAE Financial Rules and Regulations Sample Questions:
Question 1
An application for conciliation has been submitted to the Authority. Within what maximum time following receipt must a decision be made?
A. 10 working days
B. 1 month
C. 2 months
D. 15 working days
Question 2
Where a financial analyst wants to conduct a personal transaction which relates to investment research being undertaken, what additional requirement is normally imposed?
A. Approval from the Authority or Central Bank
B. Approval from the firm's legal or compliance department
C. Signing of a guarantee undertaking
D. Signing of a non-conflict disclaimer
Question 3
Each licence applicant must submit a risk management guide that includes:
A. development and implementation of policies and procedures
B. the mechanisms required to enable the compliance officer to have access to sufficient resources
C. the procedures and mechanisms required to enable the internal auditor to act independently
D. the procedures and mechanisms that ensure that the responsible officer shall have access to all records
Question 4
Which type of securities are subject to exchange crime prohibitions?
A. Company shares and bonds only
B. All tradeable financial instruments except crypto-assets
C. All tradeable financial instruments including crypto-assets
D. Company shares, bonds and derivatives
Question 5
An applicant for a license from the Authority has submitted a feasibility study and work plan. What method will be used to evaluate this?
A. A stress testing exercise
B. An operational risk matrix
C. Comparison with the same sector
D. SWOT analysis
Solutions:
| Question 1 Answer: D | Question 2 Answer: B | Question 3 Answer: A | Question 4 Answer: C | Question 5 Answer: D |
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