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: Aug 21, 2026     Q & A: 102 Questions and Answers

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

SectionWeightObjectives
The Regulatory Infrastructure17%- 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)
Investment Funds11%- Provisions specific to certain public funds
- The local fund
Markets11%- General background
- Disclosure and Transparency
Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations14%- Federal Law No. 20 of 2018
Licensed Bodies14%- Licensing financial activities
- General provisions
- Requirements of capital market institutions
Dubai Financial Market (DFM)11%
Trading11%
Client Protection10%

CISI UAE Financial Rules and Regulations Sample Questions:

1. The policies of a firm applying for a financial activities licence must include arrangements to provide a copy of its complaints handling procedure to clients:

A) within 24 hours of accepting the client
B) within 48 hours of accepting the client
C) on receipt of a complaint
D) on request


2. The whistleblowing policy submitted by an applicant for a financial activities licence must include a mechanism for:

A) escalating any reports to board level
B) ensuring all staff have a named reporting contact
C) disciplining staff proven to have breached rules
D) protecting the reporting employee


3. 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


4. Which of the following is a sanction available to the Authority in the event of a violation of its provisions?

A) Suspend the licensed body for a period of two years
B) Impose a financial fine of not less than AED 100,000
C) Suspend any financial activity practised during an investigation
D) Impose a financial fine of not more than AED 100,000


5. The minimum price movement for a West Texas Intermediate (WTI) Light Sweet Oil Futures contract is:

A) LISS 0.01 per barrel
B) USS 25 per barrel
C) USS 100 per barrel
D) USS 1 per barrel


Solutions:

Question # 1
Answer: D
Question # 2
Answer: D
Question # 3
Answer: C
Question # 4
Answer: B
Question # 5
Answer: A

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