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

  • Exam Code: UAE-Financial-Rules-and-Regulations
  • Exam Name: CISI UAE Financial Rules and Regulations Exam
  • Updated: Oct 18, 2026
  • Q&As: 188 Questions and Answers

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About CISI UAE-Financial-Rules-and-Regulations Real Exam

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

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

CISI UAE Financial Rules and Regulations Sample Questions:

Question #1

The statement in a suitability report giving reasons for the recommendation must also indicate:

  • A. why the next best product or service was disregarded
  • B. the client's ability to bear any risks and losses
  • C. whether or not the client has accepted this guidance
  • D. the extent to which the author is qualified to make this judgement
Reveal Solution  Discussion  0

Correct Answer: B  🗳️

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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

If in-kind shares are provided when the fund is founded; if the subscription fails and there is no special agreement, who would bear the expenses?

  • A. Evaluators
  • B. Auditors
  • C. Share providers
  • D. Founders
Reveal Solution  Discussion  0

Correct Answer: D  🗳️

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Question #4

The minimum price movement for an MSCI India Index Futures (INR) contract is:

  • A. 0.5 index points
  • B. 0.25 index points
  • C. US$1.00
  • D. US$0.01
Reveal Solution  Discussion  0

Correct Answer: A  🗳️

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Question #5

Which type of securities are subject to exchange crime prohibitions?

  • A. All tradeable financial instruments except crypto-assets
  • B. Company shares and bonds only
  • C. Company shares, bonds and derivatives
  • D. All tradeable financial instruments including crypto-assets
Reveal Solution  Discussion  0

Correct Answer: D  🗳️

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