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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Trading | 11% | |
| Topic 2: Licensed Bodies | 14% | - Requirements of capital market institutions - Licensing financial activities - General provisions |
| Topic 3: Client Protection | 10% | |
| Topic 4: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Topic 5: The Regulatory Infrastructure | 17% | - Codes of Conduct - Accounting system controls (Decision No. 13/Chairman issued 2021) - License categories and requirements (Decision No. 13/Chairman issued 2021) - Federal Law No. 4 of 2000 - Corporate Governance (Law No. 3 issued Jan 2020) - SCA Resolutions - Securities & Commodities Authority (SCA) |
| Topic 6: Dubai Financial Market (DFM) | 11% | |
| Topic 7: Markets | 11% | - Disclosure and Transparency - General background |
| Topic 8: Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
CISI UAE Financial Rules and Regulations Sample Questions:
The DFM's Professional Code of Conduct requires brokerage firms to take reasonable steps to determine the identity of their clients. For natural persons, this should include:
- A. profession, exact address, PO Box and phone number
- B. full name of portfolio manager
- C. commercial register number and commercial licence
- D. nature of the entity, its legal form, type and capital
Correct Answer: A 🗳️
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If in-kind shares are provided when the fund is founded; if the subscription fails and there is no special agreement, who would bear the expenses?
- A. Evaluators
- B. Founders
- C. Share providers
- D. Auditors
Correct Answer: B 🗳️
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If an existing company wants to offer shares after conversion into a public joint-stock company, it must have released audited financial statements for what minimum number of fiscal years prior to the request to offer shares?
- A. Two
- B. Four
- C. Five
- D. Three
Correct Answer: D 🗳️
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An application for conciliation has been submitted to the Authority. Within what maximum time following receipt must a decision be made?
- A. 10 working days
- B. 15 working days
- C. 1 month
- D. 2 months
Correct Answer: B 🗳️
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Where a trust agreement is established in connection with a primary listing of Sukuk, a key function of this agreement is to ensure that:
- A. The Sukuk holders do not suffer from any conflict of interest
- B. The trustees have a contractual relationship with the regulator
- C. The trustees have the right to obtain all the necessary information
- D. The Sukuk holders receive a guaranteed level of income
Correct Answer: C 🗳️
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