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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Client Protection | 20% | - Client identification and classification - Client assets and money protection - Communications, reporting and complaints handling |
| Authorised Persons | 6% | - Licensing and authorization requirements - Conduct of business rules - Obligations of authorized firms and individuals |
| Markets | 10% | - Listing and admission requirements - UAE exchanges: DFM, ADX, NASDAQ Dubai - Trading and settlement rules |
| Trading | 20% | - Market integrity and surveillance - Reporting and compliance requirements - Trading rules and mechanisms |
| The Regulatory Infrastructure | 10% | - Roles and powers of regulators - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Legislative framework and regulatory objectives |
| Market Conduct Legislation and Regulation | 28% | - Financial crime, AML and CFT regulations - Insider dealing and market abuse - Disclosure and transparency obligations |
| Associated Market and Securities Legislation and Practice | 6% | - Legal obligations of market participants - Market operation rules - Securities laws and regulations |
CISI UAE Financial Rules and Regulations Sample Questions:
1. What is the maximum term of imprisonment that can be imposed on a person who attempts to commit the crime of money laundering?
A) Five years
B) Ten years
C) Seven years
D) Three years
2. When a firm performs internal reconciliations of the financial instruments held for each client, what must it do if the reconciliation shows a discrepancy?
A) Inform the regulator within 30 days
B) Make good any shortfall for which it is responsible
C) Close the client's account by close of business on the same day
D) Rectify the situation within 7 days from the date that the reconciliation is performed
3. The contract size for an India Gold Quanto Futures contract is:
A) 32 troy ounces
B) 1,000 grammes
C) One lot
D) 1,000 troy ounces
4. A real estate investment fund may borrow no more than what percentage of its total assets value?
A) 10%
B) 50%
C) 75%
D) 25%
5. Which of the following is a sanction available to the Authority in the event of a violation of its provisions?
A) Suspend the licensed body for a period of two years
B) Impose a financial fine of not more than AED 100,000
C) Suspend any financial activity practised during an investigation
D) Impose a financial fine of not less than AED 100,000
Solutions:
| Question # 1 Answer: A | Question # 2 Answer: B | Question # 3 Answer: C | Question # 4 Answer: B | Question # 5 Answer: D |
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