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: Jul 11, 2026     Q & A: 102 Questions and Answers

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Following are some reference material for actual CISI UAE-Financial-Rules-and-Regulations exam test

CISI UAE Financial Rules and Regulations Sample Questions:

1. 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) Commercial papers and deposit certificates only
B) Medium-term bonds, commercial papers and deposit certificates
C) Medium-term bonds and commercial papers only
D) Deposit certificates and medium-term bonds only


2. To qualify as a big block deal on the ADX's E-Trading system, the securities to be traded must be a minimum of what proportion of the issuer's capital?

A) 0.5%
B) 1.0%
C) 2.5%
D) 2.0%


3. 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


4. The contract size for trading in Silver Futures on the Dubai Gold & Commodities Exchange is 1,000 troy ounces of refined silver, plus or minus what prescribed margin?

A) 2%
B) 10%
C) 5%
D) 1%


5. Where a financial analyst wants to conduct a personal transaction which relates to investment research being undertaken, what additional requirement is normally imposed?

A) Approval from the Authority or Central Bank
B) Signing of a guarantee undertaking
C) Approval from the firm's legal or compliance department
D) Signing of a non-conflict disclaimer


Solutions:

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

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