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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Licensed Bodies | 14% | - Licensing financial activities - General provisions - Requirements of capital market institutions |
| Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Dubai Financial Market (DFM) | 11% | |
| Markets | 11% | - General background - Disclosure and Transparency |
| Client Protection | 10% | |
| Trading | 11% | |
| Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| The Regulatory Infrastructure | 17% | - 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:
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
Correct Answer: B 🗳️
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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%
Correct Answer: C 🗳️
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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
Correct Answer: A 🗳️
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The approved job for conducting securities dealing is:
- A. Trading Manager
- B. Broker Representative
- C. Category Manager
- D. Operations Manager
Correct Answer: B 🗳️
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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
Correct Answer: B 🗳️
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