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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Anti-Money Laundering and Financial Crime | - Financial crime prevention
|
| Financial Conduct and Compliance | - Compliance and supervision
|
| Regulatory Ethics and Professional Standards | - Regulatory accountability
|
| UAE Financial Regulatory Framework | - Federal financial regulation structure
|
CISI UAE Financial Rules and Regulations Sample Questions:
DFM brokerage firms are required to ensure that employees have appropriate professional experience if they:
- A. are employed to deal with clients or on their behalf
- B. are on full-time or substantial part-time contracts
- C. are new to the company or the industry
- D. are employed to operate an electronic trading or clearing system
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The contract size for an India Gold Quanto Futures contract is:
- A. One lot
- B. 32 troy ounces
- C. 1,000 grammes
- D. 1,000 troy ounces
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Which of the following is a sanction available to the Authority in the event of a violation of its provisions?
- A. Impose a financial fine of not more than AED 100,000
- B. Suspend any financial activity practised during an investigation
- C. Impose a financial fine of not less than AED 100,000
- D. Suspend the licensed body for a period of two years
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Which of the following is one of the prescribed financial activities for which the Authority can issue a license?
- A. Corporate planning
- B. Analysis
- C. Promotion
- D. Risk management
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The conciliation process allows the Authority to impose what alternative to criminal prosecution?
- A. Payment of a prescribed amount of money
- B. Negotiated out-of-court settlement
- C. Referral to the Central Bank
- D. Suspension of activities for a specified period
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