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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Client Protection | 10% | |
| Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Markets | 11% | - General background - Disclosure and Transparency |
| The Regulatory Infrastructure | 17% | - Securities & Commodities Authority (SCA) - Accounting system controls (Decision No. 13/Chairman issued 2021) - Federal Law No. 4 of 2000 - License categories and requirements (Decision No. 13/Chairman issued 2021) - Codes of Conduct - SCA Resolutions - Corporate Governance (Law No. 3 issued Jan 2020) |
| Dubai Financial Market (DFM) | 11% | |
| Trading | 11% | |
| Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Licensed Bodies | 14% | - Licensing financial activities - General provisions - Requirements of capital market institutions |
CISI UAE Financial Rules and Regulations Sample Questions:
1. A licensed person who conducts financial activities related to security tokens is required to carry out a suitability check only if:
A) the licensed person has less than 3 years' relevant experience
B) the amount being invested exceeds AED 100,000
C) the client is not a qualified investor
D) the token falls into the high risk category
2. The minimum paid-up capital requirement for ranking and advice firms is:
A) AED 30 million
B) AED 50 million
C) none
D) AED 5 million
3. The Depository Centre must periodically report to the Authority on shareholders who hold more than what threshold percentage of equity in the Centre's capital?
A) 10%
B) 3%
C) 15%
D) 5%
4. What is the maximum term of imprisonment that can be imposed on a person who attempts to commit the crime of money laundering?
A) Five years
B) Three years
C) Seven years
D) Ten years
5. 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
Solutions:
| Question # 1 Answer: C | Question # 2 Answer: D | Question # 3 Answer: D | Question # 4 Answer: A | Question # 5 Answer: C |






