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CISI UAE-Financial-Rules-and-Regulations exam : CISI UAE Financial Rules and Regulations Exam

UAE-Financial-Rules-and-Regulations Exam Questions
  • Exam Code: UAE-Financial-Rules-and-Regulations
  • Exam Name: CISI UAE Financial Rules and Regulations Exam
  • Updated: Oct 09, 2026
  • Q & A: 188 Questions and Answers
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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:

SectionWeightObjectives
Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations14%- Federal Law No. 20 of 2018
Dubai Financial Market (DFM)11%
Client Protection10%
Investment Funds11%- Provisions specific to certain public funds
- The local fund
Markets11%- Disclosure and Transparency
- General background
Trading11%
The Regulatory Infrastructure17%- SCA Resolutions
- Securities & Commodities Authority (SCA)
- License categories and requirements (Decision No. 13/Chairman issued 2021)
- Corporate Governance (Law No. 3 issued Jan 2020)
- Codes of Conduct
- Federal Law No. 4 of 2000
- Accounting system controls (Decision No. 13/Chairman issued 2021)
Licensed Bodies14%- General provisions
- Licensing financial activities
- Requirements of capital market institutions

CISI UAE Financial Rules and Regulations Sample Questions:

Question #1

Where a brokerage firm on the DFM has a client with a debit balance, the regulations prevent the firm from:

  • A. accepting new orders from the client
  • B. providing investment advice to the client
  • C. paying any cash to the client
  • D. selling securities on the client's behalf
Reveal Solution  Discussion  0

Correct Answer: A  🗳️

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Question #2

If a financial institution suspects that a transaction involves proceeds of crime, what must it do?

  • A. Submit a suspicious transaction report (STR) directly to the Authority without delay
  • B. Submit a suspicious transaction report (STR) directly to the Financial Intelligence Unit within one week
  • C. Submit a suspicious transaction report (STR) directly to the Authority within one week
  • D. Submit a suspicious transaction report (STR) directly to the Financial Intelligence Unit without delay
Reveal Solution  Discussion  0

Correct Answer: D  🗳️

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Question #3

The conciliation process allows the Authority to impose what alternative to criminal prosecution?

  • A. Negotiated out-of-court settlement
  • B. Payment of a prescribed amount of money
  • C. Referral to the Central Bank
  • D. Suspension of activities for a specified period
Reveal Solution  Discussion  0

Correct Answer: A  🗳️

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Question #4

A fund manager is considering investing in medium-term bonds, commercial papers, and deposit certificates.
Under the regulations, which of these can be held under a cash investment fund?

  • A. Deposit certificates and medium-term bonds only
  • B. Medium-term bonds, commercial papers and deposit certificates
  • C. Medium-term bonds and commercial papers only
  • D. Commercial papers and deposit certificates only
Reveal Solution  Discussion  0

Correct Answer: D  🗳️

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Question #5

When debt securities are offered through a public subscription, the offeror will be required to announce any replacement of the trustee:

  • A. immediately
  • B. after 5 working days
  • C. within a maximum of 48 hours
  • D. within a maximum of 72 hours
Reveal Solution  Discussion  0

Correct Answer: D  🗳️

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