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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: The Regulatory Infrastructure | 17% | - Federal Law No. 4 of 2000 - SCA Resolutions - Accounting system controls (Decision No. 13/Chairman issued 2021) - License categories and requirements (Decision No. 13/Chairman issued 2021) - Securities & Commodities Authority (SCA) - Corporate Governance (Law No. 3 issued Jan 2020) - Codes of Conduct |
| Topic 2: Trading | 11% | |
| Topic 3: Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Topic 4: Dubai Financial Market (DFM) | 11% | |
| Topic 5: Licensed Bodies | 14% | - General provisions - Licensing financial activities - Requirements of capital market institutions |
| Topic 6: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Topic 7: Markets | 11% | - Disclosure and Transparency - General background |
| Topic 8: Client Protection | 10% |
CISI UAE Financial Rules and Regulations Sample Questions:
In order to be authorised to deal in investments, which of the following professional roles would the Authority expect to see within the firm?
- A. Broker Representative
- B. Operations Manager
- C. Trading Manager
- D. Compliance Officer
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Where a private equity fund is to be incorporated, the incorporation agreement must include a statement indicating:
- A. who will be appointed auditor for the fund
- B. whether the limited partners can influence investment management
- C. who bears main responsibility for regulatory compliance
- D. whether the investment management will be outsourced
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When applying for an Authority licence to operate a crypto fundraising platform, the need to demonstrate the independence of its fundraising functions is required only if the operator:
- A. Plans to issue security tokens
- B. Owns crypto assets as a separate entity
- C. Intends conducting other financial services activities
- D. Is a subsidiary of another financial institution
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An obligor with a retail primary listing of Sukuk immediately notified the Authority when one of its board directors was replaced. Why was the obligor considered to be in breach of its continuing obligations?
- A. The obligor failed to also notify the market
- B. The obligor failed to give 14 days' notice
- C. The new director had less than 5 years' experience
- D. The new director held a foreign passport
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What happens if a listed company has its shares suspended for six months or more?
- A. They are moved to a first category of listing
- B. They are moved to a second category of listing
- C. They are placed under greater regulatory scrutiny
- D. They face a potential fine from the Authority
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