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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Authorised Persons | 6% | - Conduct of business rules - Licensing and authorization requirements - Obligations of authorized firms and individuals |
| Market Conduct Legislation and Regulation | 28% | - Disclosure and transparency obligations - Insider dealing and market abuse - Financial crime, AML and CFT regulations |
| Associated Market and Securities Legislation and Practice | 6% | - Legal obligations of market participants - Market operation rules - Securities laws and regulations |
| Markets | 10% | - UAE exchanges: DFM, ADX, NASDAQ Dubai - Listing and admission requirements - Trading and settlement rules |
| Trading | 20% | - Reporting and compliance requirements - Trading rules and mechanisms - Market integrity and surveillance |
| The Regulatory Infrastructure | 10% | - Roles and powers of regulators - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Legislative framework and regulatory objectives |
| Client Protection | 20% | - Communications, reporting and complaints handling - Client assets and money protection - Client identification and classification |
CISI UAE Financial Rules and Regulations Sample Questions:
A licensed body submitted a requested document to the Authority and a short time later noticed that it was incomplete. How soon must it notify the Authority of this issue?
- A. Within a maximum of 48 hours
- B. Immediately
- C. By the end of that working week
- D. Within a maximum of 72 hours
Correct Answer: B 🗳️
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When a firm performs internal reconciliations of the financial instruments held for each client, what must it do if the reconciliation shows a discrepancy?
- A. Close the client's account by close of business on the same day
- B. Inform the regulator within 30 days
- C. Make good any shortfall for which it is responsible
- D. Rectify the situation within 7 days from the date that the reconciliation is performed
Correct Answer: C 🗳️
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Why might employees in one part of a regulated business be permitted to withhold information from employees in another part of the business?
- A. Strict privacy of client information
- B. At the request of the audit function
- C. Prevention of insider trading
- D. To comply with a Chinese wall
Correct Answer: D 🗳️
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A vote carried out by the board of the Authority resulted in a tie. What happens in these circumstances?
- A. The vote for the resolution is automatically carried
- B. The chairman or their deputy is granted the casting vote
- C. The decision is postponed until another vote can be taken
- D. The vote against the resolution is automatically carried
Correct Answer: B 🗳️
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Which of the following financial activities comes under the fifth category licence?
- A. Dealing in investments
- B. Arrangement and advice
- C. Credit rating agencies
- D. Dealing in securities
Correct Answer: C 🗳️
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