CISI UAE-Financial-Rules-and-Regulations exam dumps : 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 19, 2026     Q & A: 102 Questions and Answers

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

SectionWeightObjectives
Topic 1: Client Protection10%
Topic 2: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations14%- Federal Law No. 20 of 2018
Topic 3: Markets11%- Disclosure and Transparency
- General background
Topic 4: Investment Funds11%- The local fund
- Provisions specific to certain public funds
Topic 5: Trading11%
Topic 6: The Regulatory Infrastructure17%- Securities & Commodities Authority (SCA)
- License categories and requirements (Decision No. 13/Chairman issued 2021)
- Corporate Governance (Law No. 3 issued Jan 2020)
- SCA Resolutions
- Codes of Conduct
- Federal Law No. 4 of 2000
- Accounting system controls (Decision No. 13/Chairman issued 2021)
Topic 7: Licensed Bodies14%- General provisions
- Licensing financial activities
- Requirements of capital market institutions
Topic 8: Dubai Financial Market (DFM)11%

CISI UAE Financial Rules and Regulations Sample Questions:

1. 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) The issuing company must sell them within 30 days
C) These are also added to the shareholder's account
D) They are totalled up and put in a suspense account


2. Which category of firm is required to provide accounts using a 'Unified Centralised Back Office System'?

A) Category 3 - Custody, clearing and recording
B) Category 2 - Dealing in investments
C) Category 1 - Dealing in securities
D) Category 4 - Credit rating agencies


3. Customer due diligence measures require management approval if the natural person involved is:

A) registered as disabled
B) under the age of 21
C) normally resident outside the State
D) a politically exposed person


4. Under what circumstances, if any, is an introducer allowed to provide an investor with financial analysis?

A) Only if no recommendations are made
B) Only if it is licensed to do so
C) Only if the client proactively requests one
D) Under no circumstances


5. The effectiveness of a financial institution's internal policies, controls and procedures to combat money laundering must be tested by:

A) the audit committee
B) an independent audit function
C) external consultants
D) regular operational resilience exercises


Solutions:

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

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