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

SectionWeightObjectives
Topic 1: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations14%- Federal Law No. 20 of 2018
Topic 2: The Regulatory Infrastructure17%- Federal Law No. 4 of 2000
- Corporate Governance (Law No. 3 issued Jan 2020)
- License categories and requirements (Decision No. 13/Chairman issued 2021)
- SCA Resolutions
- Accounting system controls (Decision No. 13/Chairman issued 2021)
- Codes of Conduct
- Securities & Commodities Authority (SCA)
Topic 3: Licensed Bodies14%- Licensing financial activities
- General provisions
- Requirements of capital market institutions
Topic 4: Dubai Financial Market (DFM)11%
Topic 5: Markets11%- Disclosure and Transparency
- General background
Topic 6: Client Protection10%
Topic 7: Trading11%
Topic 8: Investment Funds11%- Provisions specific to certain public funds
- The local fund

CISI UAE Financial Rules and Regulations Sample Questions:

1. The contract size for trading in Silver Futures on the Dubai Gold & Commodities Exchange is 1,000 troy ounces of refined silver, plus or minus what prescribed margin?

A) 1%
B) 5%
C) 10%
D) 2%


2. A key reason why the regulator applies financial promotion rules is to ensure that:

A) the available product range is maximised
B) the customers are treated fairly
C) the market is kept competitive
D) the impact of operational risk is avoided


3. The watch list, which is monitored by an Authority-established committee, consists of which group of companies?

A) Companies in the first category
B) Companies in the second category
C) All public companies which have declared losses in the last 12 months
D) All private companies which have declared losses in the last 12 months


4. When establishing a local investment fund, how much are the founders required to subscribe?

A) At least 1 million dirhams
B) At least 5 million dirhams
C) At least 10 million dirhams
D) At least 20 million dirhams


5. 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) two business days prior to the last business day of the delivery month
C) the 25th calendar day of the delivery month
D) one business day prior to the last business day of the delivery month


Solutions:

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

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