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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| The Regulatory Infrastructure | 10% | - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Roles and powers of regulators - Legislative framework and regulatory objectives |
| Authorised Persons | 6% | - Conduct of business rules - Obligations of authorized firms and individuals - Licensing and authorization requirements |
| Trading | 20% | - Trading rules and mechanisms - Market integrity and surveillance - Reporting and compliance requirements |
| Client Protection | 20% | - Client identification and classification - Communications, reporting and complaints handling - Client assets and money protection |
| Associated Market and Securities Legislation and Practice | 6% | - Legal obligations of market participants - Market operation rules - Securities laws and regulations |
| Market Conduct Legislation and Regulation | 28% | - Financial crime, AML and CFT regulations - Disclosure and transparency obligations - Insider dealing and market abuse |
| Markets | 10% | - Listing and admission requirements - UAE exchanges: DFM, ADX, NASDAQ Dubai - Trading and settlement rules |
CISI UAE Financial Rules and Regulations Sample Questions:
The conciliation process allows the Authority to impose what alternative to criminal prosecution?
- A. Payment of a prescribed amount of money
- B. Negotiated out-of-court settlement
- C. Suspension of activities for a specified period
- D. Referral to the Central Bank
Explanation: Only visible for TestBraindump members. You can sign-up / login (it's free).
The main purpose of the committee established by the Authority to monitor companies on the watch list is to ensure that they:
- A. Comply with the disclosure and listing requirements
- B. Publish regular updates on their accumulated losses
- C. Follow all money laundering and terrorist financing laws
- D. Treat all shareholders on a fair and equitable basis
Explanation: Only visible for TestBraindump members. You can sign-up / login (it's free).
The watch list, which is monitored by an Authority-established committee, consists of which group of companies?
- A. All private companies which have declared losses in the last 12 months
- B. Companies in the second category
- C. All public companies which have declared losses in the last 12 months
- D. Companies in the first category
Explanation: Only visible for TestBraindump members. You can sign-up / login (it's free).
Which of the following customer due diligence measures should be taken if a client is a foreign politically exposed person?
- A. Conduct a prescribed risk / benefit analysis
- B. Examine the latest Interpol watch list
- C. Seek Authority approval to proceed
- D. Attempt to establish the source of the funds
Explanation: Only visible for TestBraindump members. You can sign-up / login (it's free).
What happens to a day order to sell on the DFM if it is not executed by the end of that day?
- A. It is automatically held over
- B. The seller can choose to cancel it or hold it over until the next trading session
- C. The trader can choose to cancel it or hold it over until the next trading session
- D. It automatically expires
Explanation: Only visible for TestBraindump members. You can sign-up / login (it's free).
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