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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Market Conduct Legislation and Regulation | 28% | - Insider dealing and market abuse - Disclosure and transparency obligations - Financial crime, AML and CFT regulations |
| Topic 2: The Regulatory Infrastructure | 10% | - Roles and powers of regulators - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Legislative framework and regulatory objectives |
| Topic 3: Authorised Persons | 6% | - Licensing and authorization requirements - Conduct of business rules - Obligations of authorized firms and individuals |
| Topic 4: Markets | 10% | - Listing and admission requirements - Trading and settlement rules - UAE exchanges: DFM, ADX, NASDAQ Dubai |
| Topic 5: Trading | 20% | - Reporting and compliance requirements - Market integrity and surveillance - Trading rules and mechanisms |
| Topic 6: Client Protection | 20% | - Client identification and classification - Client assets and money protection - Communications, reporting and complaints handling |
| Topic 7: Associated Market and Securities Legislation and Practice | 6% | - Legal obligations of market participants - Securities laws and regulations - Market operation rules |
CISI UAE Financial Rules and Regulations Sample Questions:
In order for the contents of a financial promotion which quotes yield figures to satisfy the clear, fair, and not misleading rule, it should:
- A. give a balanced impression of both short and long term prospects
- B. always assume the communication is intended for a retail client
- C. ensure all monetary examples are calculated to at least two decimal places
- D. make the promotion available simultaneously in printed form and online
Correct Answer: A 🗳️
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What is the standard contract size for Dubai India Quanto Crude Oil Futures traded on the Dubai Gold & Commodities Exchange?
- A. 30 barrels
- B. 1,000 barrels
- C. 3 barrels
- D. 100 barrels
Correct Answer: C 🗳️
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Where an applicant for a financial activities licence uses a cloud-based server, they must set out provisions to ensure the outsourced party can operate with zero data loss for what stated period?
- A. Five years
- B. Ten years
- C. Seven years
- D. Three years
Correct Answer: A 🗳️
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In which circumstances might lawyers, notary publics, other legal stakeholders and independent legal auditors be exempt from suspicious transaction reporting requirements?
- A. When providing legal opinion with regards to legal proceedings
- B. When providing services relating to beneficiaries of insurance policies
- C. When conducting real estate transactions within the UAE
- D. When advising on financial transactions for politically exposed persons
Correct Answer: A 🗳️
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Which of the following features of a previous order can be changed with the order remaining valid?
- A. Market
- B. Volume
- C. Order type
- D. Share category
Correct Answer: B 🗳️
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