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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 |
| Associated Market and Securities Legislation and Practice | 6% | - Legal obligations of market participants - Securities laws and regulations - Market operation rules |
| Market Conduct Legislation and Regulation | 28% | - Insider dealing and market abuse - Disclosure and transparency obligations - Financial crime, AML and CFT regulations |
| The Regulatory Infrastructure | 10% | - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Legislative framework and regulatory objectives - Roles and powers of regulators |
| Authorised Persons | 6% | - Conduct of business rules - Obligations of authorized firms and individuals - Licensing and authorization requirements |
| 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 |
CISI UAE Financial Rules and Regulations Sample Questions:
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
Correct Answer: A 🗳️
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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
Correct Answer: C 🗳️
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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
Correct Answer: D 🗳️
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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
Correct Answer: B 🗳️
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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
Correct Answer: D 🗳️
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