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

CISI UAE-Financial-Rules-and-Regulations Actual PDF
  • Exam Code: UAE-Financial-Rules-and-Regulations
  • Exam Name: CISI UAE Financial Rules and Regulations Exam
  • Updated: Oct 13, 2026
  • Q & A: 188 Questions and Answers
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About CISI UAE-Financial-Rules-and-Regulations Exam

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

SectionWeightObjectives
Licensed Bodies14%- Requirements of capital market institutions
- Licensing financial activities
- General provisions
Dubai Financial Market (DFM)11%
Client Protection10%
Markets11%- General background
- Disclosure and Transparency
The Regulatory Infrastructure17%- SCA Resolutions
- Federal Law No. 4 of 2000
- Corporate Governance (Law No. 3 issued Jan 2020)
- License categories and requirements (Decision No. 13/Chairman issued 2021)
- Securities & Commodities Authority (SCA)
- Codes of Conduct
- Accounting system controls (Decision No. 13/Chairman issued 2021)
Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations14%- Federal Law No. 20 of 2018
Trading11%
Investment Funds11%- Provisions specific to certain public funds
- The local fund

CISI UAE Financial Rules and Regulations Sample Questions:

Question #1

Where self-fund founders intend to accept in-kind shares, the fund prospectus must state whether these shares:

  • A. will be held as capital assets of the fund
  • B. are consistent with the fund's investment strategy
  • C. may subsequently be disposed of
  • D. are to be valued subjectively
Reveal Solution  Discussion  0

Correct Answer: B  🗳️

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Question #2

As part of its obligations under the Authority regulations, a commodities CCP carries out periodic back tests.
Why are these tests required?

  • A. To find the correct level of default-fund contributions
  • B. To establish the extreme limits of default-fund tolerance
  • C. To ensure stress-test scenarios are adequate
  • D. To avoid the need for regular stress testing
Reveal Solution  Discussion  0

Correct Answer: C  🗳️

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Question #3

The last trading day for an India Gold Quanto Futures contract is:

  • A. the 25th calendar day of the delivery month
  • B. two business days prior to the last business day of the delivery month
  • C. one business day prior to the last business day of the delivery month
  • D. four business days prior to the 25th calendar day of the delivery month
Reveal Solution  Discussion  0

Correct Answer: B  🗳️

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Question #4

Order cancellation can be carried out on the trading system. What happens if the order has already been traded?

  • A. The original order is recovered
  • B. An adjustment is made
  • C. The request is rejected
  • D. Execution priority is given
Reveal Solution  Discussion  0

Correct Answer: C  🗳️

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Question #5

What action will the CSD Department take shortly after uploading a shareholders' register onto the ADX's electronic systems?

  • A. Send a copy of the e-register to the issuer for reconciliation purposes
  • B. Issue e-registration slips to all the shareholders
  • C. Notify the Authority that this process has been completed
  • D. Place a back-up copy off-site for disaster-recovery purposes
Reveal Solution  Discussion  0

Correct Answer: A  🗳️

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