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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Markets | 10% | - Listing and admission requirements - Trading and settlement rules - UAE exchanges: DFM, ADX, NASDAQ Dubai |
| Market Conduct Legislation and Regulation | 28% | - Insider dealing and market abuse - Disclosure and transparency obligations - Financial crime, AML and CFT regulations |
| Client Protection | 20% | - Communications, reporting and complaints handling - Client assets and money protection - Client identification and classification |
| Authorised Persons | 6% | - Conduct of business rules - Obligations of authorized firms and individuals - Licensing and authorization requirements |
| The Regulatory Infrastructure | 10% | - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Legislative framework and regulatory objectives - Roles and powers of regulators |
| Trading | 20% | - Reporting and compliance requirements - Trading rules and mechanisms - Market integrity and surveillance |
| Associated Market and Securities Legislation and Practice | 6% | - Legal obligations of market participants - Securities laws and regulations - Market operation rules |
CISI UAE Financial Rules and Regulations Sample Questions:
1. When a company applies to become a Special Purpose Acquisition Company, its sponsors must prepare proposals to:
A) manage conflicts of interest
B) identify potential money laundering
C) reduce the risk to investors
D) deal with succession planning
2. If an offering person arranges the issuance of crypto assets for which funds have been subscribed by investors, controls must be set up to avoid:
A) subscriptions being taken at different threshold levels
B) prices being determined at the discretion of the issuer
C) subscriptions being taken at excessive levels from non-qualified investors
D) prices being allowed to fluctuate during the opening offer period
3. Designated non-financial businesses and professions are banned under the regulations from dealing with which type of organisation?
A) Mutual co-operatives
B) Non-profit organisations
C) Benefit corporations
D) Shell banks
4. How long must licence applicants keep back-up copies of records?
A) For as long as the firm is in existence
B) Not less than ten years
C) Not less than five years
D) For as long as each client chooses
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 sophisticated trader or a qualified investor
B) a company incorporated under Shariah law
C) an exchange licensed by a market in the UAE
D) an exchange licensed by the Authority in the UAE
Solutions:
| Question # 1 Answer: A | Question # 2 Answer: C | Question # 3 Answer: D | Question # 4 Answer: B | Question # 5 Answer: D |






