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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Client Protection | 10% | |
| Investment Funds | 11% | - The local fund - Provisions specific to certain public funds |
| Markets | 11% | - Disclosure and Transparency - General background |
| Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Dubai Financial Market (DFM) | 11% | |
| The Regulatory Infrastructure | 17% | - License categories and requirements (Decision No. 13/Chairman issued 2021) - Accounting system controls (Decision No. 13/Chairman issued 2021) - SCA Resolutions - Federal Law No. 4 of 2000 - Corporate Governance (Law No. 3 issued Jan 2020) - Codes of Conduct - Securities & Commodities Authority (SCA) |
| Trading | 11% | |
| Licensed Bodies | 14% | - Requirements of capital market institutions - Licensing financial activities - General provisions |
CISI UAE Financial Rules and Regulations Sample Questions:
What proportion of the market value of securities owned by a brokerage company are used to increase the value of its guarantee?
- A. 80%
- B. 70%
- C. 60%
- D. 50%
Correct Answer: B 🗳️
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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 sign a declaration of impartiality
- B. They must have at least three years' experience evaluating this type of asset
- C. They must be a qualified accountant or auditor
- D. They must be on an Authority list of provisionally or fully approved evaluators
Correct Answer: B 🗳️
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The statement in a suitability report giving reasons for the recommendation must also indicate:
- A. why the next best product or service was disregarded
- B. the extent to which the author is qualified to make this judgement
- C. the client's ability to bear any risks and losses
- D. whether or not the client has accepted this guidance
Correct Answer: C 🗳️
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Which of the following is one of the prescribed financial activities for which the Authority can issue a license?
- A. Risk management
- B. Promotion
- C. Analysis
- D. Corporate planning
Correct Answer: A 🗳️
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Following a public subscription, what must a Special Purpose Acquisition Company do with the proceeds?
- A. Deposit not less than 90% of the public subscription proceeds within one business day of receipt
- B. Deposit not less than 100% of the public subscription proceeds within two business days of receipt
- C. Deposit not less than 90% of the public subscription proceeds within two business days of receipt
- D. Deposit not less than 100% of the public subscription proceeds within one business day of receipt
Correct Answer: D 🗳️
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