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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| The Regulatory Infrastructure | 17% | - Accounting system controls (Decision No. 13/Chairman issued 2021) - Codes of Conduct - SCA Resolutions - License categories and requirements (Decision No. 13/Chairman issued 2021) - Securities & Commodities Authority (SCA) - Federal Law No. 4 of 2000 - Corporate Governance (Law No. 3 issued Jan 2020) |
| Client Protection | 10% | |
| Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Trading | 11% | |
| Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Licensed Bodies | 14% | - Licensing financial activities - General provisions - Requirements of capital market institutions |
| Dubai Financial Market (DFM) | 11% | |
| Markets | 11% | - General background - Disclosure and Transparency |
CISI UAE Financial Rules and Regulations Sample Questions:
The Authority is permitted to cancel the licence of a licensed body if it fails to practise any financial activity within what prescribed period after obtaining the category licence?
- A. 12 months
- B. 24 months
- C. 6 months
- D. 18 months
Correct Answer: C 🗳️
Explanation: Only visible for Prep4sures members. You can sign-up / login (it's free).
Financial institutions must retain all records, documents, data and statistics for all financial transactions and local or international commercial and cash transactions for a period of no less than:
- A. Ten years from the date of completion of the transaction or termination of the business relationship with the customer
- B. Five years from the date of completion of the transaction or ten years from the termination of the relationship with the customer
- C. Three years from the date of completion of the transaction or five years from the termination of the relationship with the customer
- D. Five years from the date of completion of the transaction or termination of the business relationship with the customer
Correct Answer: D 🗳️
Explanation: Only visible for Prep4sures members. You can sign-up / login (it's free).
An application submitted to the ADX by the brokerage company to enable it to supply E-Trading services will result in a decision to approve or reject the application within:
- A. 30 days
- B. 2 days
- C. 5 days
- D. 10 days
Correct Answer: C 🗳️
Explanation: Only visible for Prep4sures members. You can sign-up / login (it's free).
Where a pledge request is submitted to the CSD Department, the details provided on the relevant form must include:
- A. The agreed default option
- B. The duration of the arrangement
- C. The party entitled to the profits
- D. The reason for the arrangement
Correct Answer: C 🗳️
Explanation: Only visible for Prep4sures members. You can sign-up / login (it's free).
When promoting private funds, related materials must:
- A. receive prior approval of the content from the Authority
- B. advise that the funds cannot be transferred to a third party
- C. clarify the private fund's specific nature and include the required disclaimer laid down by the Authority
- D. refrain from using public advertisement media of certain types, including audio and video, with the exception of read media
Correct Answer: C 🗳️
Explanation: Only visible for Prep4sures members. You can sign-up / login (it's free).
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