Learn with CISI : UAE-Financial-Rules-and-Regulations training material for 100% pass
Updated: Oct 08, 2026
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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: | Computer-Based Testing, Multiple Choice Questions, 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: Associated Market and Securities Legislation and Practice | 6% | - Securities laws and regulations - Legal obligations of market participants - Market operation rules |
| Topic 3: Authorised Persons | 6% | - Licensing and authorization requirements - Conduct of business rules - Obligations of authorized firms and individuals |
| Topic 4: Market Conduct Legislation and Regulation | 28% | - Financial crime, AML and CFT regulations - Insider dealing and market abuse - Disclosure and transparency obligations |
| 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: The Regulatory Infrastructure | 10% | - Roles and powers of regulators - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Legislative framework and regulatory objectives |
CISI UAE Financial Rules and Regulations Sample Questions:
In order for the contents of a financial promotion which quotes yield figures to satisfy the clear, fair, and not misleading rule, it should:
- A. make the promotion available simultaneously in printed form and online
- B. ensure all monetary examples are calculated to at least two decimal places
- C. always assume the communication is intended for a retail client
- D. give a balanced impression of both short and long term prospects
Correct Answer: D 🗳️
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A licensed person who conducts financial activities related to security tokens is required to carry out a suitability check only if:
- A. the token falls into the high risk category
- B. the amount being invested exceeds AED 100,000
- C. the client is not a qualified investor
- D. the licensed person has less than 3 years' relevant experience
Correct Answer: C 🗳️
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In what circumstances may representatives of a broker or employees of brokerage firms trade for their own accounts?
- A. Only through the account of a spouse or family member, with written approval of the brokerage firm manager and the Authority
- B. Only through other firms and upon written approval of the brokerage firm manager and the Authority
- C. Only through their own firms and upon written approval of the brokerage firm manager and the DFM
- D. Only through their own firms and upon written approval of the brokerage firm manager and the Authority
Correct Answer: C 🗳️
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Which of the following conditions must an individual satisfy if they are to carry out an evaluation for an in- kind share transfer?
- A. They must be a qualified accountant or auditor
- B. They must be on an Authority list of provisionally or fully approved evaluators
- C. They must sign a declaration of impartiality
- D. They must have at least three years' experience evaluating this type of asset
Correct Answer: D 🗳️
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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
Correct Answer: B 🗳️
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