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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Associated Market and Securities Legislation and Practice | 6% | - Legal obligations of market participants - Securities laws and regulations - Market operation rules |
| Topic 2: The Regulatory Infrastructure | 10% | - Roles and powers of regulators - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Legislative framework and regulatory objectives |
| Topic 3: Client Protection | 20% | - Client identification and classification - Client assets and money protection - Communications, reporting and complaints handling |
| Topic 4: Trading | 20% | - Market integrity and surveillance - Reporting and compliance requirements - Trading rules and mechanisms |
| Topic 5: Markets | 10% | - UAE exchanges: DFM, ADX, NASDAQ Dubai - Trading and settlement rules - Listing and admission requirements |
| Topic 6: Authorised Persons | 6% | - Licensing and authorization requirements - Obligations of authorized firms and individuals - Conduct of business rules |
| Topic 7: Market Conduct Legislation and Regulation | 28% | - Disclosure and transparency obligations - Insider dealing and market abuse - Financial crime, AML and CFT regulations |
CISI UAE Financial Rules and Regulations Sample Questions:
Which of the following is an administrative penalty that can be imposed on financial institutions that violate the law and regulations in relation to money laundering and terrorism financing?
- A. A penalty of no less than AED 15,000 and no more than AED 5,000,000 for each violation
- B. A penalty of no less than AED 50,000 and no more than AED 5,000,000 for each violation
- C. A penalty of no less than AED 5,000 and no more than AED 1,000,000 for each violation
- D. A penalty of no less than AED 100,000 and no more than AED 10,000,000 for each violation
Correct Answer: B 🗳️
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Which of the following is the criminal penalty for any person who uses proceeds for the financing of terrorism?
- A. Life imprisonment and a penalty of no less than AED 500,000 and no more than AED 10,000,000
- B. Life imprisonment and a penalty of no less than AED 300,000 and no more than AED 1,000,000
- C. Life imprisonment or temporary imprisonment of no less than ten years, and a penalty of no less than AED 300,000 and no more than AED 10,000,000
- D. Temporary imprisonment of no less than ten years, and a penalty of no less than AED 300,000 and no more than AED 10,000,000
Correct Answer: C 🗳️
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On the Dubai Gold & Commodities Exchange, how many delivery months are available for trading in Dubai India Quanto Crude Oil futures?
- A. 6
- B. 2
- C. 12
- D. 18
Correct Answer: C 🗳️
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Customer due diligence measures require management approval if the natural person involved is:
- A. a politically exposed person
- B. registered as disabled
- C. normally resident outside the State
- D. under the age of 21
Correct Answer: A 🗳️
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The Authority is permitted to cancel the licence of a licensed body if it fails to practise any financial activity within what prescribed period after obtaining the category licence?
- A. 12 months
- B. 6 months
- C. 18 months
- D. 24 months
Correct Answer: B 🗳️
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