CISI UAE-Financial-Rules-and-Regulations : CISI UAE Financial Rules and Regulations Exam

  • Exam Code: UAE-Financial-Rules-and-Regulations
  • Exam Name: CISI UAE Financial Rules and Regulations Exam
  • Updated: Aug 18, 2026
  • Q & A: 102 Questions and Answers

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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:

SectionObjectives
Topic 1: Anti-Money Laundering and Financial Crime- Financial crime prevention
  • 1. Sanctions compliance obligations
    • 2. Fraud prevention controls
      - AML/CFT requirements in the UAE
      • 1. Customer due diligence (CDD) and KYC
        • 2. Suspicious transaction reporting
          Topic 2: Financial Conduct and Compliance- Compliance and supervision
          • 1. Compliance monitoring frameworks
            • 2. Internal controls and governance
              - Conduct of business standards
              • 1. Fair dealing and market integrity principles
                • 2. Client suitability and disclosure obligations
                  Topic 3: UAE Financial Regulatory Framework- Federal financial regulation structure
                  • 1. Overview of UAE financial governance bodies
                    • 2. Roles of central financial authorities
                      - Securities and investment regulation
                      • 1. Regulation of securities markets in the UAE
                        • 2. Market conduct and compliance requirements
                          Topic 4: Regulatory Ethics and Professional Standards- Regulatory accountability
                          • 1. Responsibilities of financial professionals
                            • 2. Regulatory reporting obligations
                              - Ethical standards in financial services
                              • 1. Professional integrity expectations
                                • 2. Conflicts of interest management

                                  CISI UAE Financial Rules and Regulations Sample Questions:

                                  1. An in-kind shares evaluation report must be based on data covering what maximum period before the evaluation date?

                                  A) One month
                                  B) Four months
                                  C) Three months
                                  D) Two months


                                  2. The contract size for an MSCI India Index Futures (INR) contract is:

                                  A) 50 index points x price
                                  B) 20 index points x price
                                  C) 25 index points x price
                                  D) 5 index points x price


                                  3. What proportion of the market value of securities owned by a brokerage company are used to increase the value of its guarantee?

                                  A) 70%
                                  B) 80%
                                  C) 50%
                                  D) 60%


                                  4. A joint-stock company applying for a licence to conduct clearing activities in a commodity market recently appointed a new chairman and a new CEO. Why did this lead to the application being refused?

                                  A) They were supported by just three other board members
                                  B) They had been employed by the company during the previous year
                                  C) Only the CEO's compensation had been approved by the Authority
                                  D) Only the chairman held a tranche of the company's shares


                                  5. When licence applicants submit behaviour regulations including a professional code of ethics, this falls under the category of:

                                  A) employee regulation
                                  B) governance regulation
                                  C) technical system
                                  D) administration regulation


                                  Solutions:

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

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