CISI UAE-Financial-Rules-and-Regulations dumps - in .pdf

UAE-Financial-Rules-and-Regulations pdf
  • Exam Code: UAE-Financial-Rules-and-Regulations
  • Exam Name: CISI UAE Financial Rules and Regulations Exam
  • Updated: Aug 11, 2026
  • Q & A: 102 Questions and Answers
  • PDF Price: $59.99

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  • Exam Code: UAE-Financial-Rules-and-Regulations
  • Exam Name: CISI UAE Financial Rules and Regulations Exam
  • Updated: Aug 11, 2026
  • Q & A: 102 Questions and Answers
  • PDF Version + PC Test Engine + Online Test Engine
  • Value Pack Total: $119.98  $79.99
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UAE-Financial-Rules-and-Regulations Testing Engine
  • Exam Code: UAE-Financial-Rules-and-Regulations
  • Exam Name: CISI UAE Financial Rules and Regulations Exam
  • Updated: Aug 11, 2026
  • Q & A: 102 Questions and Answers
  • Software Price: $59.99
  • Testing Engine

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

SectionWeightObjectives
The Regulatory Infrastructure10%- Legislative framework and regulatory objectives
- Roles and powers of regulators
- Regulatory bodies: SCA, CBUAE, DFSA, FSRA
Authorised Persons6%- Licensing and authorization requirements
- Obligations of authorized firms and individuals
- Conduct of business rules
Markets10%- Listing and admission requirements
- Trading and settlement rules
- UAE exchanges: DFM, ADX, NASDAQ Dubai
Associated Market and Securities Legislation and Practice6%- Market operation rules
- Securities laws and regulations
- Legal obligations of market participants
Trading20%- Market integrity and surveillance
- Reporting and compliance requirements
- Trading rules and mechanisms
Client Protection20%- Client identification and classification
- Communications, reporting and complaints handling
- Client assets and money protection
Market Conduct Legislation and Regulation28%- Disclosure and transparency obligations
- Insider dealing and market abuse
- Financial crime, AML and CFT regulations

CISI UAE Financial Rules and Regulations Sample Questions:

1. The policies of a firm applying for a financial activities licence must include arrangements to provide a copy of its complaints handling procedure to clients:

A) on request
B) within 48 hours of accepting the client
C) within 24 hours of accepting the client
D) on receipt of a complaint


2. Why would the Authority board resolve temporarily to halt trading in the shares of any company?

A) A written complaint is made relating to a market activity
B) It transpires that the spouse of a board member is a director of that entity
C) A threat to the proper and regular working of that market arises
D) It does not have the technical equipment necessary to conduct its activity electronically


3. A public joint-stock company is automatically prevented by the regulations from executing a buyback transaction if it:

A) was incorporated in the last three years
B) is formally classed as an insurance company
C) issued shares in a public offer in the last six months
D) has been designated a company of State importance


4. The DFM's Professional Code of Conduct requires brokerage firms to take reasonable steps to determine the identity of their clients. For natural persons, this should include:

A) commercial register number and commercial licence
B) full name of portfolio manager
C) profession, exact address, PO Box and phone number
D) nature of the entity, its legal form, type and capital


5. The Authority will only grant a licence to operate a crypto fundraising platform in the UAE if the applicant is a legal person in the form of:

A) a company incorporated under Shariah law
B) a sophisticated trader or a qualified investor
C) an exchange licensed by the Authority in the UAE
D) an exchange licensed by a market in the UAE


Solutions:

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

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