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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Dubai Financial Market (DFM) | 11% | |
| Topic 2: Client Protection | 10% | |
| Topic 3: Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Topic 4: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Topic 5: Trading | 11% | |
| Topic 6: Markets | 11% | - Disclosure and Transparency - General background |
| Topic 7: The Regulatory Infrastructure | 17% | - Securities & Commodities Authority (SCA) - Federal Law No. 4 of 2000 - Corporate Governance (Law No. 3 issued Jan 2020) - License categories and requirements (Decision No. 13/Chairman issued 2021) - Codes of Conduct - SCA Resolutions - Accounting system controls (Decision No. 13/Chairman issued 2021) |
| Topic 8: Licensed Bodies | 14% | - General provisions - Licensing financial activities - Requirements of capital market institutions |
CISI UAE Financial Rules and Regulations Sample Questions:
An Authority resolution was passed by the Chairman alone. Why was this possible?
- A. Board members abstained due to a conflict of interest
- B. It was impossible to hold a meeting with all Board members present
- C. The Chairman holds a casting vote which can be used whenever considered appropriate
- D. It was an exceptional case where a quick decision needed to be taken, and it was impossible to hold a meeting of the Board
Correct Answer: D 🗳️
Explanation: Only visible for RealValidExam members. You can sign-up / login (it's free).
When applying for an Authority licence to operate a crypto fundraising platform, the need to demonstrate the independence of its fundraising functions is required only if the operator:
- A. Plans to issue security tokens
- B. Owns crypto assets as a separate entity
- C. Is a subsidiary of another financial institution
- D. Intends conducting other financial services activities
Correct Answer: D 🗳️
Explanation: Only visible for RealValidExam members. You can sign-up / login (it's free).
If an offering person arranges the issuance of crypto assets for which funds have been subscribed by investors, controls must be set up to avoid:
- A. subscriptions being taken at different threshold levels
- B. prices being allowed to fluctuate during the opening offer period
- C. subscriptions being taken at excessive levels from non-qualified investors
- D. prices being determined at the discretion of the issuer
Correct Answer: C 🗳️
Explanation: Only visible for RealValidExam members. You can sign-up / login (it's free).
Financial institutions must retain all records, documents, data and statistics for all financial transactions and local or international commercial and cash transactions for a period of no less than:
- A. Five years from the date of completion of the transaction or ten years from the termination of the relationship with the customer
- B. Ten years from the date of completion of the transaction or termination of the business relationship with the customer
- C. Five years from the date of completion of the transaction or termination of the business relationship with the customer
- D. Three years from the date of completion of the transaction or five years from the termination of the relationship with the customer
Correct Answer: C 🗳️
Explanation: Only visible for RealValidExam members. You can sign-up / login (it's free).
Which category of firm is required to provide accounts using a 'Unified Centralised Back Office System'?
- A. Category 1 - Dealing in securities
- B. Category 4 - Credit rating agencies
- C. Category 2 - Dealing in investments
- D. Category 3 - Custody, clearing and recording
Correct Answer: D 🗳️
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