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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: The Regulatory Infrastructure | 10% | - Legislative framework and regulatory objectives - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Roles and powers of regulators |
| Topic 2: Trading | 20% | - Trading rules and mechanisms - Market integrity and surveillance - Reporting and compliance requirements |
| Topic 3: Associated Market and Securities Legislation and Practice | 6% | - Securities laws and regulations - Market operation rules - Legal obligations of market participants |
| Topic 4: Market Conduct Legislation and Regulation | 28% | - Financial crime, AML and CFT regulations - Insider dealing and market abuse - Disclosure and transparency obligations |
| Topic 5: Client Protection | 20% | - Communications, reporting and complaints handling - Client identification and classification - Client assets and money protection |
| Topic 6: Markets | 10% | - Listing and admission requirements - Trading and settlement rules - UAE exchanges: DFM, ADX, NASDAQ Dubai |
| Topic 7: Authorised Persons | 6% | - Licensing and authorization requirements - Obligations of authorized firms and individuals - Conduct of business rules |
CISI UAE Financial Rules and Regulations Sample Questions:
The Board of a securities market wished to suspend a rule relating to the operations of that market, why was it unable to do so?
- A. A 30-day notice was not provided
- B. It failed to seek permission from the Authority
- C. The majority of the board was not present
- D. An Authority penalty was pending
Correct Answer: B 🗳️
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When applying for an Authority licence to operate a crypto fundraising platform, the need to demonstrate the independence of its fundraising functions is required only if the operator:
- A. Is a subsidiary of another financial institution
- B. Plans to issue security tokens
- C. Owns crypto assets as a separate entity
- D. Intends conducting other financial services activities
Correct Answer: D 🗳️
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When updating their money laundering compliance framework, firms involved in crypto assets are required to take into account the recommendations of which body?
- A. Bank for International Settlements
- B. World Bank
- C. Financial Action Task Force
- D. United Nations Office on Drugs and Crime
Correct Answer: C 🗳️
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When a firm applies to the Authority for a licence, an internal audit guide must be included setting out procedures which will ensure that:
- A. The internal auditor can act independently
- B. Internal audits are carried out at least quarterly
- C. The internal auditor is externally nominated
- D. Internal audits are registered with the correct accounting times
Correct Answer: A 🗳️
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Customer due diligence measures require management approval if the natural person involved is:
- A. normally resident outside the State
- B. a politically exposed person
- C. registered as disabled
- D. under the age of 21
Correct Answer: B 🗳️
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Viewing questions 1-5 out of 188 questions.
