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

  • Exam Code: UAE-Financial-Rules-and-Regulations
  • Exam Name: CISI UAE Financial Rules and Regulations Exam
  • Updated: Aug 26, 2026     Q & A: 188 Questions and Answers

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

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

CISI UAE Financial Rules and Regulations Sample Questions:

1. The semi-annual financial report for a local investment fund must be audited by an external auditor within what maximum period following the end of the reporting period?

A) 45 days
B) 2 months
C) 3 months
D) 35 days


2. The role of the safe custodian in relation to exchange-traded funds (ETFs) is to:

A) Ensure that the transfer of ownership of units is completed
B) Update sell and buy orders
C) Announce the net value of the unit's assets on a daily basis
D) Implement the investment policy


3. The contract size for an India Gold Quanto Futures contract is:

A) 1,000 troy ounces
B) 1,000 grammes
C) One lot
D) 32 troy ounces


4. Which type of securities are subject to exchange crime prohibitions?

A) Company shares, bonds and derivatives
B) All tradeable financial instruments including crypto-assets
C) All tradeable financial instruments except crypto-assets
D) Company shares and bonds only


5. Where a brokerage firm on the DFM has a client with a debit balance, the regulations prevent the firm from:

A) providing investment advice to the client
B) selling securities on the client's behalf
C) accepting new orders from the client
D) paying any cash to the client


Solutions:

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

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