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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Investment Funds | 11% | - The local fund - Provisions specific to certain public funds |
| Markets | 11% | - General background - Disclosure and Transparency |
| Client Protection | 10% | |
| Dubai Financial Market (DFM) | 11% | |
| Trading | 11% | |
| Licensed Bodies | 14% | - Requirements of capital market institutions - General provisions - Licensing financial activities |
| The Regulatory Infrastructure | 17% | - License categories and requirements (Decision No. 13/Chairman issued 2021) - SCA Resolutions - Corporate Governance (Law No. 3 issued Jan 2020) - Codes of Conduct - Accounting system controls (Decision No. 13/Chairman issued 2021) - Securities & Commodities Authority (SCA) - Federal Law No. 4 of 2000 |
CISI UAE Financial Rules and Regulations Sample Questions:
The DFM's Professional Code of Conduct requires brokerage firms to take reasonable steps to determine the identity of their clients. For corporate persons, this should include:
- A. Commercial register number and commercial licence
- B. Profession, exact address, PO Box and phone number
- C. Nature of the entity, its legal form, type and capital
- D. Full name and nationality of any portfolio manager
Correct Answer: A 🗳️
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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 20 million dirhams
- D. At least 10 million dirhams
Correct Answer: D 🗳️
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A good-till-cancelled order on the DFM will remain available for execution unless it is cancelled by:
- A. the clearing member
- B. the market committee
- C. the broker
- D. the investor
Correct Answer: D 🗳️
Explanation: Only visible for DumpsQuestion members. You can sign-up / login (it's free).
The market must provide an electronic trading system which ensures:
- A. The automatic stopping of purchase orders which exceed the limits of the broker's bank guarantee or reach the limit of a special order
- B. The ability to manually stop purchase orders which exceed the limits of the broker's bank guarantee or reach the limit of a special order
- C. Provision of trading accounts that can be opened in the names of two or more investors without the requirement for Authority approval
- D. Privacy to enable all companies and entities whose securities are listed in the market, and their registrars, to keep the information secret
Correct Answer: A 🗳️
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A licensed body submitted a requested document to the Authority and a short time later noticed that it was incomplete. How soon must it notify the Authority of this issue?
- A. Within a maximum of 48 hours
- B. By the end of that working week
- C. Within a maximum of 72 hours
- D. Immediately
Correct Answer: D 🗳️
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