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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: The Regulatory Infrastructure | 17% | - License categories and requirements (Decision No. 13/Chairman issued 2021) - Corporate Governance (Law No. 3 issued Jan 2020) - Codes of Conduct - SCA Resolutions - Securities & Commodities Authority (SCA) - Accounting system controls (Decision No. 13/Chairman issued 2021) - Federal Law No. 4 of 2000 |
| Topic 2: Licensed Bodies | 14% | - Licensing financial activities - General provisions - Requirements of capital market institutions |
| Topic 3: Dubai Financial Market (DFM) | 11% | |
| Topic 4: Client Protection | 10% | |
| Topic 5: Markets | 11% | - Disclosure and Transparency - General background |
| Topic 6: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Topic 7: Trading | 11% | |
| Topic 8: Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
CISI UAE Financial Rules and Regulations Sample Questions:
1. The market must provide an electronic trading system which ensures:
A) The automatic stopping of purchase orders which exceed the limits of the broker's bank guarantee or reach the limit of a special order
B) Provision of trading accounts that can be opened in the names of two or more investors without the requirement for Authority approval
C) Privacy to enable all companies and entities whose securities are listed in the market, and their registrars, to keep the information secret
D) The ability to manually stop purchase orders which exceed the limits of the broker's bank guarantee or reach the limit of a special order
2. When licence applicants submit behaviour regulations including a professional code of ethics, this falls under the category of:
A) governance regulation
B) technical system
C) employee regulation
D) administration regulation
3. The last trading day for an India Gold Quanto Futures contract is:
A) the 25th calendar day of the delivery month
B) four business days prior to the 25th calendar day of the delivery month
C) one business day prior to the last business day of the delivery month
D) two business days prior to the last business day of the delivery month
4. What is the standard contract size for Dubai India Quanto Crude Oil Futures traded on the Dubai Gold & Commodities Exchange?
A) 1,000 barrels
B) 3 barrels
C) 100 barrels
D) 30 barrels
5. The summary of an in-kind shares evaluation report must state the:
A) Evaluator's company
B) Book value of the asset
C) Qualifications of the evaluator
D) Fair value of the asset
Solutions:
| Question # 1 Answer: A | Question # 2 Answer: A | Question # 3 Answer: D | Question # 4 Answer: B | Question # 5 Answer: D |






