CISI UAE-Financial-Rules-and-Regulations Valid Dumps - CISI UAE Financial Rules and Regulations Exam

Updated: Oct 19, 2026
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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:

SectionWeightObjectives
Licensed Bodies14%- Licensing financial activities
- General provisions
- Requirements of capital market institutions
Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations14%- Federal Law No. 20 of 2018
Dubai Financial Market (DFM)11%
Markets11%- General background
- Disclosure and Transparency
Client Protection10%
Trading11%
Investment Funds11%- Provisions specific to certain public funds
- The local fund
The Regulatory Infrastructure17%- License categories and requirements (Decision No. 13/Chairman issued 2021)
- Codes of Conduct
- Federal Law No. 4 of 2000
- Corporate Governance (Law No. 3 issued Jan 2020)
- Securities & Commodities Authority (SCA)
- SCA Resolutions
- Accounting system controls (Decision No. 13/Chairman issued 2021)

CISI UAE Financial Rules and Regulations Sample Questions:

Question #1

An applicant for a license from the Authority has submitted a feasibility study and work plan. What method will be used to evaluate this?

  • A. An operational risk matrix
  • B. SWOT analysis
  • C. Comparison with the same sector
  • D. A stress testing exercise
Reveal Solution  Discussion  0

Correct Answer: B  🗳️

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Question #2

The Depository Centre must periodically report to the Authority on shareholders who hold more than what threshold percentage of equity in the Centre's capital?

  • A. 3%
  • B. 10%
  • C. 5%
  • D. 15%
Reveal Solution  Discussion  0

Correct Answer: C  🗳️

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Question #3

If there is a material change in the nature of the relevant software, the regulations state that investors who have accepted an offer of crypto assets must be notified:

  • A. promptly in advance
  • B. within no less than 14 days
  • C. immediately after implementation
  • D. within no less than 7 days
Reveal Solution  Discussion  0

Correct Answer: A  🗳️

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Question #4

The approved job for conducting securities dealing is:

  • A. Trading Manager
  • B. Broker Representative
  • C. Category Manager
  • D. Operations Manager
Reveal Solution  Discussion  0

Correct Answer: B  🗳️

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Question #5

If title to units in a private investment fund is transferred to a professional investor, the minimum nominal value of these units must equate to at least:

  • A. AED 280,000
  • B. AED 180,000
  • C. AED 220,000
  • D. AED 120,000
Reveal Solution  Discussion  0

Correct Answer: B  🗳️

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