Exam Name: CISI UAE Financial Rules and Regulations Exam
Certification Provider: CISI
Corresponding Certification: Investment Operations Certificate (IOC)
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CISI : UAE-Financial-Rules-and-Regulations Exam Premium Dumps
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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: Licensed Bodies | 14% | - General provisions - Licensing financial activities - Requirements of capital market institutions |
| Topic 3: The Regulatory Infrastructure | 17% | - Corporate Governance (Law No. 3 issued Jan 2020) - Accounting system controls (Decision No. 13/Chairman issued 2021) - SCA Resolutions - License categories and requirements (Decision No. 13/Chairman issued 2021) - Securities & Commodities Authority (SCA) - Codes of Conduct - Federal Law No. 4 of 2000 |
| Topic 4: Client Protection | 10% | |
| Topic 5: Markets | 11% | - Disclosure and Transparency - General background |
| Topic 6: Investment Funds | 11% | - The local fund - Provisions specific to certain public funds |
| Topic 7: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Topic 8: Trading | 11% |
CISI UAE Financial Rules and Regulations Sample Questions:
What does the Authority usually do before deciding to delist a company's shares?
- A. Consult with the relevant firm
- B. Issue a fine for payment within 30 days
- C. Consult with the relevant market
- D. Issue an improvement notice of 30 days
Correct Answer: D 🗳️
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If the mid-point is used to determine the theoretical auction price for a pre-closing session of the DFM, it is:
- A. rounded to one decimal place
- B. rounded to two decimal places
- C. rounded down to the nearest price tick
- D. rounded up to the nearest price tick
Correct Answer: D 🗳️
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Customer due diligence measures require management approval if the natural person involved is:
- A. a politically exposed person
- B. under the age of 21
- C. registered as disabled
- D. normally resident outside the State
Correct Answer: A 🗳️
Explanation: Only visible for FreeCram members. You can sign-up / login (it's free).
An introducer approved by the Authority is obliged to obtain further approval before:
- A. Conducting any introduction business outside the UAE
- B. Asking clients to provide new business referrals
- C. Approaching legal entities to arrange an introduction
- D. Receiving any commission payments
Correct Answer: A 🗳️
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When establishing a local investment fund, how much are the founders required to subscribe?
- A. At least 1 million dirhams
- B. At least 10 million dirhams
- C. At least 5 million dirhams
- D. At least 20 million dirhams
Correct Answer: B 🗳️
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