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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Market Conduct Legislation and Regulation | 28% | - Insider dealing and market abuse - Financial crime, AML and CFT regulations - Disclosure and transparency obligations |
| Topic 2: The Regulatory Infrastructure | 10% | - Roles and powers of regulators - Legislative framework and regulatory objectives - Regulatory bodies: SCA, CBUAE, DFSA, FSRA |
| Topic 3: Markets | 10% | - Listing and admission requirements - Trading and settlement rules - UAE exchanges: DFM, ADX, NASDAQ Dubai |
| Topic 4: Trading | 20% | - Trading rules and mechanisms - Reporting and compliance requirements - Market integrity and surveillance |
| Topic 5: Authorised Persons | 6% | - Obligations of authorized firms and individuals - Conduct of business rules - Licensing and authorization requirements |
| Topic 6: Associated Market and Securities Legislation and Practice | 6% | - Market operation rules - Securities laws and regulations - Legal obligations of market participants |
| Topic 7: Client Protection | 20% | - Communications, reporting and complaints handling - Client identification and classification - Client assets and money protection |
CISI UAE Financial Rules and Regulations Sample Questions:
1. If an error in the final cash settlement price of an equity index comes to the attention of the Exchange more than 30 minutes after the publication of the final cash settlement price, what happens?
A) Liability is apportioned
B) The provider will correct it
C) No correction will be made
D) It will be re-determined
2. If a listed company faces accumulated losses of 50% or more of capital, what is required to happen?
A) It is required to be audited more frequently
B) It is moved from a second category listing to a first category of listing
C) Its shares are suspended for at least six months
D) It is moved from a first category listing to a second category of listing
3. A licensed person who conducts financial activities related to security tokens is required to carry out a suitability check only if:
A) the amount being invested exceeds AED 100,000
B) the licensed person has less than 3 years' relevant experience
C) the token falls into the high risk category
D) the client is not a qualified investor
4. The role of the authorised agent of the exchange-traded fund (ETF) is to:
A) announce the net value of the unit's assets on a daily basis
B) update sell and buy orders
C) regularly announce the indicative value of the net value of assets
D) ensure that the transfer of ownership of units is completed
5. When establishing a local investment fund, how much are the founders required to subscribe?
A) At least 1 million dirhams
B) At least 20 million dirhams
C) At least 10 million dirhams
D) At least 5 million dirhams
Solutions:
| Question # 1 Answer: C | Question # 2 Answer: D | Question # 3 Answer: D | Question # 4 Answer: C | Question # 5 Answer: C |





