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

  • Exam Code: UAE-Financial-Rules-and-Regulations
  • Exam Name: CISI UAE Financial Rules and Regulations Exam
  • Updated: Oct 06, 2026
  • Q & A: 188 Questions and Answers

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

SectionWeightObjectives
Topic 1: The Regulatory Infrastructure17%- Accounting system controls (Decision No. 13/Chairman issued 2021)
- Federal Law No. 4 of 2000
- Corporate Governance (Law No. 3 issued Jan 2020)
- SCA Resolutions
- License categories and requirements (Decision No. 13/Chairman issued 2021)
- Securities & Commodities Authority (SCA)
- Codes of Conduct
Topic 2: Investment Funds11%- The local fund
- Provisions specific to certain public funds
Topic 3: Licensed Bodies14%- Licensing financial activities
- General provisions
- Requirements of capital market institutions
Topic 4: Client Protection10%
Topic 5: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations14%- Federal Law No. 20 of 2018
Topic 6: Trading11%
Topic 7: Markets11%- General background
- Disclosure and Transparency
Topic 8: Dubai Financial Market (DFM)11%

CISI UAE Financial Rules and Regulations Sample Questions:

Question #1

When a licensed firm refers a client complaint to another body, it must:

  • A. Continue handling any part of the complaint that was not referred
  • B. Notify the complainant by telephone or email
  • C. Suspend handling any part of the complaint that was not referred
  • D. Advise the complainant that they have 30 days to appeal this action
Reveal Solution  Discussion  0

Correct Answer: A  🗳️

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Question #2

If the mid-point is used to determine the theoretical auction price for a pre-closing session of the DFM, it is:

  • A. rounded down to the nearest price tick
  • B. rounded to two decimal places
  • C. rounded to one decimal place
  • D. rounded up to the nearest price tick
Reveal Solution  Discussion  0

Correct Answer: D  🗳️

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Question #3

A good-till-cancelled order on the DFM will remain available for execution unless it is cancelled by:

  • A. the investor
  • B. the broker
  • C. the clearing member
  • D. the market committee
Reveal Solution  Discussion  0

Correct Answer: A  🗳️

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Question #4

The whistleblowing policy submitted by an applicant for a financial activities licence must include a mechanism for:

  • A. disciplining staff proven to have breached rules
  • B. protecting the reporting employee
  • C. escalating any reports to board level
  • D. ensuring all staff have a named reporting contact
Reveal Solution  Discussion  0

Correct Answer: B  🗳️

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Question #5

During a trading session of the DFM, a selling transaction can be executed:

  • A. Only during the first 55 minutes of each hour
  • B. At any time throughout the session
  • C. Only during the first 50 minutes of each hour
  • D. At any time apart from the last 15 minutes of the session
Reveal Solution  Discussion  0

Correct Answer: B  🗳️

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