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

  • Exam Code: UAE-Financial-Rules-and-Regulations
  • Exam Name: CISI UAE Financial Rules and Regulations Exam
  • Updated: Aug 27, 2026
  • Q & A: 188 Questions and Answers

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

SectionObjectives
Topic 1: UAE Financial Regulatory Framework- Federal financial regulation structure
  • 1. Overview of UAE financial governance bodies
    • 2. Roles of central financial authorities
      - Securities and investment regulation
      • 1. Regulation of securities markets in the UAE
        • 2. Market conduct and compliance requirements
          Topic 2: Regulatory Ethics and Professional Standards- Regulatory accountability
          • 1. Responsibilities of financial professionals
            • 2. Regulatory reporting obligations
              - Ethical standards in financial services
              • 1. Conflicts of interest management
                • 2. Professional integrity expectations
                  Topic 3: Financial Conduct and Compliance- Conduct of business standards
                  • 1. Client suitability and disclosure obligations
                    • 2. Fair dealing and market integrity principles
                      - Compliance and supervision
                      • 1. Internal controls and governance
                        • 2. Compliance monitoring frameworks
                          Topic 4: Anti-Money Laundering and Financial Crime- Financial crime prevention
                          • 1. Fraud prevention controls
                            • 2. Sanctions compliance obligations
                              - AML/CFT requirements in the UAE
                              • 1. Customer due diligence (CDD) and KYC
                                • 2. Suspicious transaction reporting

                                  CISI UAE Financial Rules and Regulations Sample Questions:

                                  1. The Depository Centre must periodically report to the Authority on shareholders who hold more than what threshold percentage of equity in the Centre's capital?

                                  A) 15%
                                  B) 3%
                                  C) 5%
                                  D) 10%


                                  2. If a discrepancy comes to light when conducting an external reconciliation, what must the firm do?

                                  A) Immediately suspend operations with the third party
                                  B) Close the client's account by close of business on the same day
                                  C) Investigate and correct it as soon as possible
                                  D) Immediately inform the regulator verbally and follow this up in writing


                                  3. Unless otherwise agreed, a broker must submit to the client a statement of account that outlines the client's balance of securities and cash, and all transactions executed every:

                                  A) month
                                  B) 12 months
                                  C) 6 months
                                  D) 3 months


                                  4. An appropriateness report must state:

                                  A) The reasoning behind the assessment
                                  B) The consequences of ignoring the advice
                                  C) The professional status of the author
                                  D) The validity period of the decision


                                  5. If there is a material change in the nature of the relevant software, the regulations state that investors who have accepted an offer of crypto assets must be notified:

                                  A) promptly in advance
                                  B) within no less than 14 days
                                  C) immediately after implementation
                                  D) within no less than 7 days


                                  Solutions:

                                  Question # 1
                                  Answer: C
                                  Question # 2
                                  Answer: C
                                  Question # 3
                                  Answer: A
                                  Question # 4
                                  Answer: A
                                  Question # 5
                                  Answer: A

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