CISI UAE Financial Rules and Regulations : UAE-Financial-Rules-and-Regulations

  • Exam Code: UAE-Financial-Rules-and-Regulations
  • Exam Name: CISI UAE Financial Rules and Regulations Exam
  • Updated: Sep 12, 2026     Q & A: 188 Questions and Answers

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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:

SectionWeightObjectives
Dubai Financial Market (DFM)11%
Client Protection10%
Licensed Bodies14%- General provisions
- Licensing financial activities
- Requirements of capital market institutions
Markets11%- Disclosure and Transparency
- General background
The Regulatory Infrastructure17%- SCA Resolutions
- License categories and requirements (Decision No. 13/Chairman issued 2021)
- Federal Law No. 4 of 2000
- Codes of Conduct
- Corporate Governance (Law No. 3 issued Jan 2020)
- Securities & Commodities Authority (SCA)
- Accounting system controls (Decision No. 13/Chairman issued 2021)
Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations14%- Federal Law No. 20 of 2018
Investment Funds11%- The local fund
- Provisions specific to certain public funds
Trading11%

CISI UAE Financial Rules and Regulations Sample Questions:

Question #1

Following an IPO, within how many business days from the date of the registration certificate issued by the Authority must the Special Purpose Acquisition Company submit a request to the market to list the shares and warrants issued by it?

  • A. Five
  • B. Two
  • C. Three
  • D. One
Answer: C

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Question #2

What additional provision is made by the market in relation to trading in shares of public joint-stock companies that are in the second category of listing?

  • A. They will appear on a separate dedicated screen
  • B. Deals are subject to an additional transaction levy
  • C. Deals can take place only on specified dates
  • D. They can be bought and sold only by qualified investors
Answer: A

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Question #3

Within what period after the date of closing subscriptions must the fund manager and the founders of a self- managed fund submit a certificate of completion from the auditor?

  • A. 15 days
  • B. 10 days
  • C. 5 days
  • D. 30 days
Answer: D

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Question #4

As part of its obligations under the Authority regulations, a commodities CCP carries out periodic back tests.
Why are these tests required?

  • A. To avoid the need for regular stress testing
  • B. To ensure stress-test scenarios are adequate
  • C. To find the correct level of default-fund contributions
  • D. To establish the extreme limits of default-fund tolerance
Answer: B

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Question #5

Which of the following conditions must an individual satisfy if they are to carry out an evaluation for an in- kind share transfer?

  • A. They must be a qualified accountant or auditor
  • B. They must have at least three years' experience evaluating this type of asset
  • C. They must sign a declaration of impartiality
  • D. They must be on an Authority list of provisionally or fully approved evaluators
Answer: B

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