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

UAE-Financial-Rules-and-Regulations real exams

Exam Code: UAE-Financial-Rules-and-Regulations

Exam Name: CISI UAE Financial Rules and Regulations Exam

Updated: Aug 26, 2026

Q & A: 188 Questions and Answers

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

SectionWeightObjectives
Topic 1: The Regulatory Infrastructure17%- 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 Bodies14%- Licensing financial activities
- General provisions
- Requirements of capital market institutions
Topic 3: Dubai Financial Market (DFM)11%
Topic 4: Client Protection10%
Topic 5: Markets11%- Disclosure and Transparency
- General background
Topic 6: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations14%- Federal Law No. 20 of 2018
Topic 7: Trading11%
Topic 8: Investment Funds11%- 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

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