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: Oct 22, 2026
  • Q & A: 188 Questions and Answers

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

SectionObjectives
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
          Regulatory Ethics and Professional Standards- Ethical standards in financial services
          • 1. Conflicts of interest management
            • 2. Professional integrity expectations
              - Regulatory accountability
              • 1. Responsibilities of financial professionals
                • 2. Regulatory reporting obligations
                  UAE Financial Regulatory Framework- Securities and investment regulation
                  • 1. Regulation of securities markets in the UAE
                    • 2. Market conduct and compliance requirements
                      - Federal financial regulation structure
                      • 1. Overview of UAE financial governance bodies
                        • 2. Roles of central financial authorities
                          Financial Conduct and Compliance- Conduct of business standards
                          • 1. Client suitability and disclosure obligations
                            • 2. Fair dealing and market integrity principles
                              - Compliance and supervision
                              • 1. Compliance monitoring frameworks
                                • 2. Internal controls and governance

                                  CISI UAE Financial Rules and Regulations Sample Questions:

                                  Question #1

                                  The approved job for conducting securities dealing is:

                                  • A. Operations Manager
                                  • B. Category Manager
                                  • C. Trading Manager
                                  • D. Broker Representative
                                  Reveal Solution  Discussion  0

                                  Correct Answer: D  🗳️

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                                  Question #2

                                  What action will the CSD Department take shortly after uploading a shareholders' register onto the ADX's electronic systems?

                                  • A. Place a back-up copy off-site for disaster-recovery purposes
                                  • B. Issue e-registration slips to all the shareholders
                                  • C. Send a copy of the e-register to the issuer for reconciliation purposes
                                  • D. Notify the Authority that this process has been completed
                                  Reveal Solution  Discussion  0

                                  Correct Answer: C  🗳️

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                                  Question #3

                                  A Special Purpose Acquisition Company deposited 95% of its public subscription proceeds into an escrow account. It is permitted to use this money to:

                                  • A. Meet recovery requests by the investors
                                  • B. Fund the issue of additional shares
                                  • C. Finance an internal restructuring programme
                                  • D. Hedge against adverse market movements
                                  Reveal Solution  Discussion  0

                                  Correct Answer: A  🗳️

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                                  Question #4

                                  A brokerage firm's records include client agreements, selling orders and accounts. Under the Professional Code of Conduct, which of these does the DFM have the right to access and review?

                                  • A. Selling orders and accounts only
                                  • B. Client agreements and selling orders only
                                  • C. Client agreements, selling orders and accounts
                                  • D. Accounts and client agreements only
                                  Reveal Solution  Discussion  0

                                  Correct Answer: C  🗳️

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                                  Question #5

                                  The last trading day for a West Texas Intermediate (WTI) Light Sweet Oil Futures contract is:

                                  • A. The second-last business day of the second month preceding the delivery month
                                  • B. The 15th calendar day of the delivery month
                                  • C. Four business days prior to the 25th calendar day of the month preceding the delivery month
                                  • D. Two business days prior to the last business day of the delivery month
                                  Reveal Solution  Discussion  0

                                  Correct Answer: C  🗳️

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