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: Jul 22, 2026
  • Q & A: 102 Questions and Answers

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

SectionObjectives
Regulatory Ethics and Professional Standards- Ethical standards in financial services
  • 1. Conflicts of interest management
    • 2. Professional integrity expectations
      - Regulatory accountability
      • 1. Responsibilities of financial professionals
        • 2. Regulatory reporting obligations
          Financial Conduct and Compliance- Conduct of business standards
          • 1. Fair dealing and market integrity principles
            • 2. Client suitability and disclosure obligations
              - Compliance and supervision
              • 1. Compliance monitoring frameworks
                • 2. Internal controls and governance
                  UAE Financial Regulatory Framework- Securities and investment regulation
                  • 1. Market conduct and compliance requirements
                    • 2. Regulation of securities markets in the UAE
                      - Federal financial regulation structure
                      • 1. Roles of central financial authorities
                        • 2. Overview of UAE financial governance bodies
                          Anti-Money Laundering and Financial Crime- Financial crime prevention
                          • 1. Sanctions compliance obligations
                            • 2. Fraud prevention controls
                              - AML/CFT requirements in the UAE
                              • 1. Suspicious transaction reporting
                                • 2. Customer due diligence (CDD) and KYC

                                  CISI UAE Financial Rules and Regulations Sample Questions:

                                  1. Which of the following features of a previous order can be changed with the order remaining valid?

                                  A) Share category
                                  B) Order type
                                  C) Market
                                  D) Volume


                                  2. The last trading day for an India Gold Quanto Futures contract is:

                                  A) four business days prior to the 25th calendar day of the delivery month
                                  B) one business day prior to the last business day of the delivery month
                                  C) two business days prior to the last business day of the delivery month
                                  D) the 25th calendar day of the delivery month


                                  3. The DFM's Professional Code of Conduct requires brokerage firms to take reasonable steps to determine the identity of their clients. For natural persons, this should include:

                                  A) commercial register number and commercial licence
                                  B) full name of portfolio manager
                                  C) nature of the entity, its legal form, type and capital
                                  D) profession, exact address, PO Box and phone number


                                  4. An in-kind shares evaluation report must be based on data covering what maximum period before the evaluation date?

                                  A) Three months
                                  B) One month
                                  C) Four months
                                  D) Two months


                                  5. During a trading session, if an order is not fully executed, then:

                                  A) the order will be dealt with at the next trading session
                                  B) the remaining unexecuted volume stays on the trading system, at the last executed price
                                  C) the remaining unexecuted volume is cancelled and a new order is placed, at the last executed price
                                  D) the transaction is executed at the price set on the other side of the transaction


                                  Solutions:

                                  Question # 1
                                  Answer: D
                                  Question # 2
                                  Answer: C
                                  Question # 3
                                  Answer: D
                                  Question # 4
                                  Answer: A
                                  Question # 5
                                  Answer: B

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