Try and practice the latest CISI : UAE-Financial-Rules-and-Regulations real questions & answers
Updated: Oct 11, 2026
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CISI UAE-Financial-Rules-and-Regulations Exam Overview:
| Certification Vendor: | CISI (Chartered Institute for Securities & Investment) |
|---|---|
| Exam Name: | UAE Financial Rules and Regulations |
| Exam Number: | UAE-Financial-Rules-and-Regulations |
| Available Languages: | English |
| Real Exam Qty: | 50 |
| Exam Format: | Multiple Choice Questions, Computer-Based Testing, Scenario-based questions |
| Exam Price: | £150 - £190 GBP / $190 - $240 USD |
| Passing Score: | 70% |
| Related Certifications: | CISI Capital Markets Programme CISI Investment Operations Certificate |
| Exam Duration: | 60 minutes |
| Certificate Validity Period: | Valid for 3 years |
| Recommended Training: | CISI Official Study Text CISI E-learning |
| Exam Registration: | CISI Official Registration Pearson VUE Test Centres |
| Sample Questions: | CISI UAE-Financial-Rules-and-Regulations Sample Questions |
| Exam Way: | Computer-based at Pearson VUE test centres or remote online proctored |
| Pre Condition: | No mandatory prerequisites; recommended for finance professionals working in UAE regulated environment |
| Official Syllabus URL: | https://www.cisi.org/qualifications/uae-financial-rules-and-regulations |
CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Associated Market and Securities Legislation and Practice | 6% | - Market operation rules - Securities laws and regulations - Legal obligations of market participants |
| Trading | 20% | - Trading rules and mechanisms - Reporting and compliance requirements - Market integrity and surveillance |
| Markets | 10% | - UAE exchanges: DFM, ADX, NASDAQ Dubai - Trading and settlement rules - Listing and admission requirements |
| The Regulatory Infrastructure | 10% | - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Legislative framework and regulatory objectives - Roles and powers of regulators |
| Authorised Persons | 6% | - Conduct of business rules - Obligations of authorized firms and individuals - Licensing and authorization requirements |
| Client Protection | 20% | - Client identification and classification - Client assets and money protection - Communications, reporting and complaints handling |
| Market Conduct Legislation and Regulation | 28% | - Insider dealing and market abuse - Financial crime, AML and CFT regulations - Disclosure and transparency obligations |
CISI UAE Financial Rules and Regulations Sample Questions:
Order cancellation can be carried out on the trading system. What happens if the order has already been traded?
- A. An adjustment is made
- B. The original order is recovered
- C. The request is rejected
- D. Execution priority is given
Correct Answer: C 🗳️
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The Authority will only grant a licence to operate a crypto fundraising platform in the UAE if the applicant is a legal person in the form of:
- A. a sophisticated trader or a qualified investor
- B. a company incorporated under Shariah law
- C. an exchange licensed by the Authority in the UAE
- D. an exchange licensed by a market in the UAE
Correct Answer: C 🗳️
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The minimum paid-up capital requirement for credit rating agencies is:
- A. AED 10 million
- B. AED 30 million
- C. AED 50 million
- D. AED 5 million
Correct Answer: D 🗳️
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The minimum price movement for an MSCI India Index Futures (INR) contract is:
- A. 0.5 index points
- B. US$1.00
- C. US$0.01
- D. 0.25 index points
Correct Answer: A 🗳️
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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. Make good any shortfall for which it is responsible
- B. Close the client's account by close of business on the same day
- C. Rectify the situation within 7 days from the date that the reconciliation is performed
- D. Inform the regulator within 30 days
Correct Answer: A 🗳️
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