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

UAE-Financial-Rules-and-Regulations
  • Exam Code: UAE-Financial-Rules-and-Regulations
  • Exam Name: CISI UAE Financial Rules and Regulations Exam
  • Updated: Aug 11, 2026
  • Q & A: 102 Questions and Answers

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

SectionWeightObjectives
The Regulatory Infrastructure10%- Regulatory bodies: SCA, CBUAE, DFSA, FSRA
- Legislative framework and regulatory objectives
- Roles and powers of regulators
Associated Market and Securities Legislation and Practice6%- Securities laws and regulations
- Legal obligations of market participants
- Market operation rules
Market Conduct Legislation and Regulation28%- Financial crime, AML and CFT regulations
- Insider dealing and market abuse
- Disclosure and transparency obligations
Markets10%- UAE exchanges: DFM, ADX, NASDAQ Dubai
- Trading and settlement rules
- Listing and admission requirements
Client Protection20%- Client assets and money protection
- Client identification and classification
- Communications, reporting and complaints handling
Authorised Persons6%- Obligations of authorized firms and individuals
- Licensing and authorization requirements
- Conduct of business rules
Trading20%- Market integrity and surveillance
- Reporting and compliance requirements
- Trading rules and mechanisms

CISI UAE Financial Rules and Regulations Sample Questions:

1. The contract size for trading in Silver Futures on the Dubai Gold & Commodities Exchange is 1,000 troy ounces of refined silver, plus or minus what prescribed margin?

A) 2%
B) 10%
C) 5%
D) 1%


2. What is the minimum fine that can be levied on a person found guilty of financing an illegal organisation?

A) AED 250,000
B) AED 200,000
C) AED 150,000
D) AED 300,000


3. Establishing a local investment fund requires the approval of the Authority, for a public fund this will either be granted or rejected within:

A) 10 working days
B) 5 working days
C) 30 working days
D) 20 working days


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) Accounts and client agreements only
B) Selling orders and accounts only
C) Client agreements, selling orders and accounts
D) Client agreements and selling orders only


5. During a trading session, if an order is not fully executed, then:

A) the remaining unexecuted volume is cancelled and a new order is placed, at the last executed price
B) the order will be dealt with at the next trading session
C) the remaining unexecuted volume stays on the trading system, at the last executed price
D) the transaction is executed at the price set on the other side of the transaction


Solutions:

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

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