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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: UAE Financial Regulatory Framework | - Federal financial regulation structure
|
| Topic 2: Regulatory Ethics and Professional Standards | - Ethical standards in financial services
|
| Topic 3: Financial Conduct and Compliance | - Conduct of business standards
|
| Topic 4: Anti-Money Laundering and Financial Crime | - Financial crime prevention
|
CISI UAE Financial Rules and Regulations Sample Questions:
1. The statement in a suitability report giving reasons for the recommendation must also indicate:
A) whether or not the client has accepted this guidance
B) the client's ability to bear any risks and losses
C) why the next best product or service was disregarded
D) the extent to which the author is qualified to make this judgement
2. The effectiveness of a financial institution's internal policies, controls and procedures to combat money laundering must be tested by:
A) external consultants
B) an independent audit function
C) the audit committee
D) regular operational resilience exercises
3. 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) an exchange licensed by the Authority in the UAE
B) a company incorporated under Shariah law
C) an exchange licensed by a market in the UAE
D) a sophisticated trader or a qualified investor
4. In cases where securities are bought and sold during the same trading session, the client must have in its cash account enough:
A) credit to cover the value of sale
B) credit to cover the value of purchase
C) securities to the value of purchase
D) credit to cover the value of any losses
5. If a listed company faces accumulated losses of 50% or more of capital, what is required to happen?
A) Its shares are suspended for at least six months
B) It is required to be audited more frequently
C) It is moved from a first category listing to a second category of listing
D) It is moved from a second category listing to a first category of listing
Solutions:
| Question # 1 Answer: B | Question # 2 Answer: B | Question # 3 Answer: A | Question # 4 Answer: B | Question # 5 Answer: C |







