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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Associated Market and Securities Legislation and Practice | 6% | - Securities laws and regulations - Market operation rules - Legal obligations of market participants |
| Topic 2: Trading | 20% | - Reporting and compliance requirements - Trading rules and mechanisms - Market integrity and surveillance |
| Topic 3: Market Conduct Legislation and Regulation | 28% | - Insider dealing and market abuse - Financial crime, AML and CFT regulations - Disclosure and transparency obligations |
| Topic 4: Markets | 10% | - Listing and admission requirements - Trading and settlement rules - UAE exchanges: DFM, ADX, NASDAQ Dubai |
| Topic 5: The Regulatory Infrastructure | 10% | - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Roles and powers of regulators - Legislative framework and regulatory objectives |
| Topic 6: Client Protection | 20% | - Communications, reporting and complaints handling - Client assets and money protection - Client identification and classification |
| Topic 7: Authorised Persons | 6% | - Licensing and authorization requirements - Obligations of authorized firms and individuals - Conduct of business rules |
CISI UAE Financial Rules and Regulations Sample Questions:
1. A firm offering custody, clearing and recording, is required to have a minimum paid-up capital of:
A) AED 30 million
B) AED 100 million
C) AED 50 million
D) AED 150 million
2. The minimum paid-up capital requirement for ranking and advice firms is:
A) none
B) AED 30 million
C) AED 50 million
D) AED 5 million
3. What is the maximum term of imprisonment that can be imposed on a person who attempts to commit the crime of money laundering?
A) Seven years
B) Ten years
C) Five years
D) Three years
4. A brokerage firm's records include client agreements, selling orders and accounts. Under the Professional Code of Conduct, which of these does the DFM have the right to access and review?
A) Accounts and client agreements only
B) Client agreements and selling orders only
C) Selling orders and accounts only
D) Client agreements, selling orders and accounts
5. For all local funds, a semi-annual report on the public fund's performance must be prepared no later than:
A) 30 days from the end of the financial year
B) 45 days from the end of the semi-annual period
C) 2 months from the end of the semi-annual period
D) 2 months from the end of the financial year
Solutions:
| Question # 1 Answer: B | Question # 2 Answer: D | Question # 3 Answer: C | Question # 4 Answer: D | Question # 5 Answer: C |






