Learn with CISI : UAE-Financial-Rules-and-Regulations training material for 100% pass
Updated: Aug 20, 2026
No. of Questions: 102 Questions & Answers with Testing Engine
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CISI UAE-Financial-Rules-and-Regulations Exam Overview:
| Certification Vendor: | CISI (Chartered Institute for Securities & Investment) |
| Exam Name: | UAE Financial Rules and Regulations |
| Exam Number: | UAE-Financial-Rules-and-Regulations |
| Certificate Validity Period: | Valid for 3 years |
| Exam Format: | Multiple Choice Questions, Computer-Based Testing, Scenario-based questions |
| Exam Price: | £150 - £190 GBP / $190 - $240 USD |
| Passing Score: | 70% |
| Real Exam Qty: | 50 |
| Exam Duration: | 60 minutes |
| Available Languages: | English |
| Related Certifications: | CISI Capital Markets Programme CISI Investment Operations Certificate |
| Recommended Training: | CISI Official Study Text CISI E-learning |
| Exam Registration: | CISI Official Registration Pearson VUE Test Centres |
| Sample Questions: | CISI UAE-Financial-Rules-and-Regulations Sample Questions |
| Exam Way: | Computer-based at Pearson VUE test centres or remote online proctored |
| Pre Condition: | No mandatory prerequisites; recommended for finance professionals working in UAE regulated environment |
| Official Syllabus URL: | https://www.cisi.org/qualifications/uae-financial-rules-and-regulations |
CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Client Protection | 20% | - Client identification and classification - Communications, reporting and complaints handling - Client assets and money protection |
| Topic 2: Market Conduct Legislation and Regulation | 28% | - Financial crime, AML and CFT regulations - Insider dealing and market abuse - Disclosure and transparency obligations |
| Topic 3: The Regulatory Infrastructure | 10% | - Roles and powers of regulators - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Legislative framework and regulatory objectives |
| Topic 4: Authorised Persons | 6% | - Licensing and authorization requirements - Conduct of business rules - Obligations of authorized firms and individuals |
| Topic 5: Markets | 10% | - UAE exchanges: DFM, ADX, NASDAQ Dubai - Trading and settlement rules - Listing and admission requirements |
| Topic 6: Trading | 20% | - Reporting and compliance requirements - Market integrity and surveillance - Trading rules and mechanisms |
| Topic 7: Associated Market and Securities Legislation and Practice | 6% | - Securities laws and regulations - Legal obligations of market participants - Market operation rules |
CISI UAE Financial Rules and Regulations Sample Questions:
1. 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) Commercial papers and deposit certificates only
C) Medium-term bonds, commercial papers and deposit certificates
D) Deposit certificates and medium-term bonds only
2. If a Special Purpose Acquisition Company fails to complete a business combination, measures to return the funds to investors must be taken within what maximum number of business days?
A) 20
B) 15
C) 10
D) 25
3. If an error in the final cash settlement price of an equity index comes to the attention of the Exchange more than 30 minutes after the publication of the final cash settlement price, what happens?
A) It will be re-determined
B) Liability is apportioned
C) The provider will correct it
D) No correction will be made
4. An application submitted to the ADX by the brokerage company to enable it to supply E-Trading services will result in a decision to approve or reject the application within:
A) 2 days
B) 30 days
C) 10 days
D) 5 days
5. If an issuer provides its shareholders with bonus shares, then the CSD Department will deposit the bonus shares issued in the account and will register them as a whole, round number. What happens in the case that there are fractions of shares?
A) The issuing company must sell them within 45 days
B) They are totalled up and put in a suspense account
C) The issuing company must sell them within 30 days
D) These are also added to the shareholder's account
Solutions:
| Question # 1 Answer: B | Question # 2 Answer: A | Question # 3 Answer: D | Question # 4 Answer: D | Question # 5 Answer: B |
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