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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: Investment Funds | 11% | - The local fund - Provisions specific to certain public funds |
| Topic 3: The Regulatory Infrastructure | 17% | - Securities & Commodities Authority (SCA) - Codes of Conduct - License categories and requirements (Decision No. 13/Chairman issued 2021) - Accounting system controls (Decision No. 13/Chairman issued 2021) - SCA Resolutions - Federal Law No. 4 of 2000 - Corporate Governance (Law No. 3 issued Jan 2020) |
| Topic 4: Dubai Financial Market (DFM) | 11% | |
| Topic 5: Client Protection | 10% | |
| Topic 6: Markets | 11% | - General background - Disclosure and Transparency |
| Topic 7: Licensed Bodies | 14% | - Requirements of capital market institutions - General provisions - Licensing financial activities |
| Topic 8: Trading | 11% |
CISI UAE Financial Rules and Regulations Sample Questions:
If an error in the final cash settlement price of an equity index comes to the attention of the Exchange more than 30 minutes after the publication of the final cash settlement price, what happens?
- A. No correction will be made
- B. The provider will correct it
- C. Liability is apportioned
- D. It will be re-determined
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Financial institutions must retain all records, documents, data and statistics for all financial transactions and local or international commercial and cash transactions for a period of no less than:
- A. Three years from the date of completion of the transaction or five years from the termination of the relationship with the customer
- B. Ten years from the date of completion of the transaction or termination of the business relationship with the customer
- C. Five years from the date of completion of the transaction or ten years from the termination of the relationship with the customer
- D. Five years from the date of completion of the transaction or termination of the business relationship with the customer
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The founders of a local investment fund must not dispose of the investment units owned by them for a period of at least:
- A. 18 months from the date of foundation
- B. 9 months from the date of foundation
- C. 6 months from the date of foundation
- D. 12 months from the date of foundation
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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. Owns crypto assets as a separate entity
- B. Plans to issue security tokens
- C. Is a subsidiary of another financial institution
- D. Intends conducting other financial services activities
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What additional provision is made by the market in relation to trading in shares of public joint-stock companies that are in the second category of listing?
- A. Deals are subject to an additional transaction levy
- B. Deals can take place only on specified dates
- C. They will appear on a separate dedicated screen
- D. They can be bought and sold only by qualified investors
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