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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Client Protection | 10% | |
| Trading | 11% | |
| The Regulatory Infrastructure | 17% | - License categories and requirements (Decision No. 13/Chairman issued 2021) - Securities & Commodities Authority (SCA) - Corporate Governance (Law No. 3 issued Jan 2020) - Codes of Conduct - Accounting system controls (Decision No. 13/Chairman issued 2021) - SCA Resolutions - Federal Law No. 4 of 2000 |
| Dubai Financial Market (DFM) | 11% | |
| Licensed Bodies | 14% | - Requirements of capital market institutions - General provisions - Licensing financial activities |
| Markets | 11% | - Disclosure and Transparency - General background |
| Investment Funds | 11% | - The local fund - Provisions specific to certain public funds |
| Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
CISI UAE Financial Rules and Regulations Sample Questions:
Question 1
To qualify as a big block deal on the ADX's E-Trading system, the securities to be traded must be a minimum of what proportion of the issuer's capital?
A. 2.0%
B. 1.0%
C. 0.5%
D. 2.5%
Question 2
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. SWOT analysis
B. An operational risk matrix
C. Comparison with the same sector
D. A stress testing exercise
Question 3
An error was made by a broker which led to a trade being conducted using the wrong trading account number.
If the trader submitted a request to have the number amended 40 minutes after the end of the trading session, the amendment would only be made if:
A. the correction is within a 5% error margin
B. an impact assessment gives acceptable results
C. an alteration fee is paid at the same time
D. the circumstances are considered to be exceptional
Question 4
An applicant for a financial activities licence must have procedures in place to recover electronic records from the archive within what maximum period?
A. Five business days
B. Four calendar days
C. Three business days
D. Two calendar days
Question 5
If a Special Purpose Acquisition Company fails to complete a business combination, measures to return the funds to investors must be taken within what maximum number of business days?
A. 10
B. 25
C. 20
D. 15
Solutions:
| Question 1 Answer: B | Question 2 Answer: A | Question 3 Answer: D | Question 4 Answer: C | Question 5 Answer: C |
