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: Oct 07, 2026

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

SectionObjectives
UAE Financial Regulatory Framework- Securities and investment regulation
  • 1. Market conduct and compliance requirements
    • 2. Regulation of securities markets in the UAE
      - Federal financial regulation structure
      • 1. Roles of central financial authorities
        • 2. Overview of UAE financial governance bodies
          Regulatory Ethics and Professional Standards- Regulatory accountability
          • 1. Responsibilities of financial professionals
            • 2. Regulatory reporting obligations
              - Ethical standards in financial services
              • 1. Conflicts of interest management
                • 2. Professional integrity expectations
                  Financial Conduct and Compliance- Conduct of business standards
                  • 1. Fair dealing and market integrity principles
                    • 2. Client suitability and disclosure obligations
                      - Compliance and supervision
                      • 1. Compliance monitoring frameworks
                        • 2. Internal controls and governance
                          Anti-Money Laundering and Financial Crime- AML/CFT requirements in the UAE
                          • 1. Customer due diligence (CDD) and KYC
                            • 2. Suspicious transaction reporting
                              - Financial crime prevention
                              • 1. Sanctions compliance obligations
                                • 2. Fraud prevention controls

                                  CISI UAE Financial Rules and Regulations Sample Questions:

                                  Question #1

                                  Order cancellation can be carried out on the trading system. What happens if the order has already been traded?

                                  • A. The original order is recovered
                                  • B. The request is rejected
                                  • C. An adjustment is made
                                  • D. Execution priority is given
                                  Reveal Solution  Discussion  0

                                  Correct Answer: B  🗳️

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                                  Question #2

                                  In which circumstances might lawyers, notary publics, other legal stakeholders and independent legal auditors be exempt from suspicious transaction reporting requirements?

                                  • A. When providing legal opinion with regards to legal proceedings
                                  • B. When conducting real estate transactions within the UAE
                                  • C. When providing services relating to beneficiaries of insurance policies
                                  • D. When advising on financial transactions for politically exposed persons
                                  Reveal Solution  Discussion  0

                                  Correct Answer: A  🗳️

                                  Explanation: Only visible for TorrentVCE members. You can sign-up / login (it's free).

                                  Question #3

                                  Within what period after the date of closing subscriptions must the fund manager and the founders of a self- managed fund submit a certificate of completion from the auditor?

                                  • A. 5 days
                                  • B. 15 days
                                  • C. 30 days
                                  • D. 10 days
                                  Reveal Solution  Discussion  0

                                  Correct Answer: C  🗳️

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                                  Question #4

                                  In cases where securities are bought and sold during the same trading session, the client must have in its cash account enough:

                                  • A. credit to cover the value of sale
                                  • B. securities to the value of purchase
                                  • C. credit to cover the value of purchase
                                  • D. credit to cover the value of any losses
                                  Reveal Solution  Discussion  0

                                  Correct Answer: C  🗳️

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                                  Question #5

                                  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. These are also added to the shareholder's account
                                  • B. The issuing company must sell them within 45 days
                                  • C. They are totalled up and put in a suspense account
                                  • D. The issuing company must sell them within 30 days
                                  Reveal Solution  Discussion  0

                                  Correct Answer: C  🗳️

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