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

UAE-Financial-Rules-and-Regulations pass collection

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

Exam Name: CISI UAE Financial Rules and Regulations Exam

Updated: Aug 16, 2026

Q & A: 102 Questions and Answers

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

SectionWeightObjectives
Client Protection10%
Investment Funds11%- Provisions specific to certain public funds
- The local fund
Markets11%- General background
- Disclosure and Transparency
The Regulatory Infrastructure17%- 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%
Trading11%
Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations14%- Federal Law No. 20 of 2018
Licensed Bodies14%- 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

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