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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Associated Market and Securities Legislation and Practice | 6% | - Legal obligations of market participants - Market operation rules - Securities laws and regulations |
| The Regulatory Infrastructure | 10% | - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Legislative framework and regulatory objectives - Roles and powers of regulators |
| Trading | 20% | - Market integrity and surveillance - Reporting and compliance requirements - Trading rules and mechanisms |
| Markets | 10% | - Trading and settlement rules - UAE exchanges: DFM, ADX, NASDAQ Dubai - Listing and admission requirements |
| Authorised Persons | 6% | - Conduct of business rules - Licensing and authorization requirements - Obligations of authorized firms and individuals |
| Market Conduct Legislation and Regulation | 28% | - Financial crime, AML and CFT regulations - Disclosure and transparency obligations - Insider dealing and market abuse |
| Client Protection | 20% | - Client assets and money protection - Client identification and classification - Communications, reporting and complaints handling |
CISI UAE Financial Rules and Regulations Sample Questions:
A financial services firm was able to treat client assets as its own without breaching the custody rules. This was because the firm:
- A. Utilised a bank's underlying guarantee
- B. Operated on an execution-only basis
- C. Satisfied the insolvency criteria
- D. Obtained the client's prior consent
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A Special Purpose Acquisition Company which wants to make its shares available to the public intends to appoint a risk consultant, a listing consultant and a financial consultant. Which of these appointments is required under the regulations?
- A. Risk consultant, listing consultant and financial consultant
- B. Listing consultant and financial consultant only
- C. Risk consultant and listing consultant only
- D. Financial consultant and risk consultant only
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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. an exchange licensed by the Authority in the UAE
- C. an exchange licensed by a market in the UAE
- D. a company incorporated under Shariah law
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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. Rectify the situation within 7 days from the date that the reconciliation is performed
- B. Make good any shortfall for which it is responsible
- C. Close the client's account by close of business on the same day
- D. Inform the regulator within 30 days
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A good-till-cancelled order on the DFM will remain available for execution unless it is cancelled by:
- A. the broker
- B. the investor
- C. the clearing member
- D. the market committee
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