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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| The Regulatory Infrastructure | 10% | - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Roles and powers of regulators - Legislative framework and regulatory objectives |
| Client Protection | 20% | - Client assets and money protection - Communications, reporting and complaints handling - Client identification and classification |
| Associated Market and Securities Legislation and Practice | 6% | - Legal obligations of market participants - Market operation rules - Securities laws and regulations |
| Market Conduct Legislation and Regulation | 28% | - Disclosure and transparency obligations - Insider dealing and market abuse - Financial crime, AML and CFT regulations |
| Trading | 20% | - Reporting and compliance requirements - Market integrity and surveillance - Trading rules and mechanisms |
| Authorised Persons | 6% | - Obligations of authorized firms and individuals - Licensing and authorization requirements - Conduct of business rules |
| Markets | 10% | - Listing and admission requirements - UAE exchanges: DFM, ADX, NASDAQ Dubai - Trading and settlement rules |
CISI UAE Financial Rules and Regulations Prep: Three Versions, One Verified Bank
- Markets (10%)
- Authorised Persons (6%)
- Trading (20%)
CISI UAE Financial Rules and Regulations Sample Questions:
If a Special Purpose Acquisition Company fails to complete a business combination, measures to return the funds to investors must be taken within what maximum number of business days?
- A. 10
- B. 25
- C. 15
- D. 20
Correct Answer: D 🗳️
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Which type of securities are subject to exchange crime prohibitions?
- A. Company shares and bonds only
- B. All tradeable financial instruments including crypto-assets
- C. All tradeable financial instruments except crypto-assets
- D. Company shares, bonds and derivatives
Correct Answer: B 🗳️
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The compliance regulation guide, submitted by an applicant for a license from the Authority, must set out procedures and mechanisms which will ensure that the compliance officer:
- A. has access to sufficient resources
- B. can appoint a deputy during an unplanned absence
- C. is able to suspend operations in an emergency
- D. can report confidentially to the regulator
Correct Answer: A 🗳️
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In what circumstances can the requirement for licensed bodies to disclose their legal status be waived?
- A. A takeover bid for the licensed body has been launched
- B. A significant market correction is taking place
- C. A court case against the licensed body is in progress
- D. An emergency has been notified to the Authority
Correct Answer: D 🗳️
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In which of the following circumstances is a brokerage company, which is both a trading and clearing member, allowed to freeze a client's securities?
- A. The company has reasonable grounds to suspect money laundering
- B. The client no longer has a permanent residence inside the State
- C. The client's account has been inactive for over two years
- D. The action is taken in accordance with the market procedures
Correct Answer: D 🗳️
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Viewing questions 1-5 out of 188 questions.
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