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Updated: Oct 10, 2026
No. of Questions: 188 Questions & Answers with Testing Engine
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CISI UAE-Financial-Rules-and-Regulations Exam Overview:
| Certification Vendor: | CISI (Chartered Institute for Securities & Investment) |
|---|---|
| Exam Name: | UAE Financial Rules and Regulations |
| Exam Number: | UAE-Financial-Rules-and-Regulations |
| Exam Format: | Scenario-based questions, Computer-Based Testing, Multiple Choice Questions |
| Certificate Validity Period: | Valid for 3 years |
| Real Exam Qty: | 50 |
| Exam Duration: | 60 minutes |
| Available Languages: | English |
| Exam Price: | £150 - £190 GBP / $190 - $240 USD |
| Related Certifications: | CISI Investment Operations Certificate CISI Capital Markets Programme |
| Passing Score: | 70% |
| Recommended Training: | CISI E-learning CISI Official Study Text |
| Exam Registration: | Pearson VUE Test Centres CISI Official Registration |
| Sample Questions: | CISI UAE-Financial-Rules-and-Regulations Sample Questions |
| Exam Way: | Computer-based at Pearson VUE test centres or remote online proctored |
| Pre Condition: | No mandatory prerequisites; recommended for finance professionals working in UAE regulated environment |
| Official Syllabus URL: | https://www.cisi.org/qualifications/uae-financial-rules-and-regulations |
CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Markets | 10% | - UAE exchanges: DFM, ADX, NASDAQ Dubai - Listing and admission requirements - Trading and settlement rules |
| Client Protection | 20% | - Communications, reporting and complaints handling - Client assets and money protection - Client identification and classification |
| Trading | 20% | - Reporting and compliance requirements - Trading rules and mechanisms - Market integrity and surveillance |
| Market Conduct Legislation and Regulation | 28% | - Financial crime, AML and CFT regulations - Disclosure and transparency obligations - Insider dealing and market abuse |
| Associated Market and Securities Legislation and Practice | 6% | - Market operation rules - Securities laws and regulations - Legal obligations of market participants |
| Authorised Persons | 6% | - Obligations of authorized firms and individuals - Licensing and authorization requirements - Conduct of business rules |
| The Regulatory Infrastructure | 10% | - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Roles and powers of regulators - Legislative framework and regulatory objectives |
CISI UAE Financial Rules and Regulations Sample Questions:
A vote carried out by the board of the Authority resulted in a tie. What happens in these circumstances?
- A. The chairman or their deputy is granted the casting vote
- B. The vote for the resolution is automatically carried
- C. The decision is postponed until another vote can be taken
- D. The vote against the resolution is automatically carried
Correct Answer: A 🗳️
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What additional rule applies to a venture capital fund once the value of its managed assets reaches AED 180 million?
- A. Quarterly IFRS reporting must be implemented
- B. The assets must be reconciled more frequently
- C. An additional cash buffer must be created
- D. A Risk Management Officer must be appointed
Correct Answer: D 🗳️
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What does the Authority usually do before deciding to delist a company's shares?
- A. Issue a fine for payment within 30 days
- B. Consult with the relevant firm
- C. Issue an improvement notice of 30 days
- D. Consult with the relevant market
Correct Answer: C 🗳️
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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. Immediately inform the regulator verbally and follow this up in writing
- C. Close the client's account by close of business on the same day
- D. Investigate and correct it as soon as possible
Correct Answer: D 🗳️
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A brokerage firm's records include client agreements, selling orders and accounts. Under the Professional Code of Conduct, which of these does the DFM have the right to access and review?
- A. Client agreements and selling orders only
- B. Client agreements, selling orders and accounts
- C. Accounts and client agreements only
- D. Selling orders and accounts only
Correct Answer: B 🗳️
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