Exam UAE-Financial-Rules-and-Regulations Topic 1 Question 76 Discussion

Actual exam question for CISI's UAE-Financial-Rules-and-Regulations exam
Question #: 76
Topic #: 1
The whistleblowing policy submitted by an applicant for a financial activities licence must include a mechanism for:

Suggested Answer: A Vote an answer

The CISI UAE Financial Rules and Regulations require that the whistleblowing policy submitted by licence applicants incorporates a clear mechanism for protecting the reporting employee. This protection includes confidentiality safeguards, protection against retaliation, and secure channels for raising concerns. Ensuring the safety and anonymity of whistleblowers is fundamental to encouraging the reporting of unethical or illegal conduct, thereby enhancing regulatory compliance and corporate governance. Other aspects such as escalation procedures and disciplinary measures are important but secondary; the central pillar of effective whistleblowing policy is the protection of the individual who reports wrongdoing.
Reference: CISI UAE Financial Rules and Regulations - Regulatory Infrastructure and Whistleblowing, Section 3.4.2 (2023).

by Nancy at Sep 28, 2026, 06:56 PM

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