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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Topic 2: Trading | 11% | |
| Topic 3: The Regulatory Infrastructure | 17% | - Codes of Conduct - SCA Resolutions - Corporate Governance (Law No. 3 issued Jan 2020) - License categories and requirements (Decision No. 13/Chairman issued 2021) - Securities & Commodities Authority (SCA) - Accounting system controls (Decision No. 13/Chairman issued 2021) - Federal Law No. 4 of 2000 |
| Topic 4: Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Topic 5: Dubai Financial Market (DFM) | 11% | |
| Topic 6: Client Protection | 10% | |
| Topic 7: Licensed Bodies | 14% | - Requirements of capital market institutions - Licensing financial activities - General provisions |
| Topic 8: Markets | 11% | - General background - Disclosure and Transparency |
CISI UAE Financial Rules and Regulations Sample Questions:
When promoting private funds, related materials must:
- A. advise that the funds cannot be transferred to a third party
- B. receive prior approval of the content from the Authority
- C. refrain from using public advertisement media of certain types, including audio and video, with the exception of read media
- D. clarify the private fund's specific nature and include the required disclaimer laid down by the Authority
Correct Answer: D 🗳️
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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. 24 months
- C. 6 months
- D. 18 months
Correct Answer: C 🗳️
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Each licence applicant must submit a risk management guide that includes:
- A. the procedures and mechanisms required to enable the internal auditor to act independently
- B. development and implementation of policies and procedures
- C. the mechanisms required to enable the compliance officer to have access to sufficient resources
- D. the procedures and mechanisms that ensure that the responsible officer shall have access to all records
Correct Answer: B 🗳️
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What is the standard contract size for Dubai India Quanto Crude Oil Futures traded on the Dubai Gold & Commodities Exchange?
- A. 30 barrels
- B. 100 barrels
- C. 1,000 barrels
- D. 3 barrels
Correct Answer: D 🗳️
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Within what maximum period following approval of the listing of a security must the Depository Centre install a terminal device giving the listing entity access to the register?
- A. 3 days
- B. 1 week
- C. 15 days
- D. 3 weeks
Correct Answer: B 🗳️
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