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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Dubai Financial Market (DFM) | 11% | |
| Topic 2: Client Protection | 10% | |
| Topic 3: Licensed Bodies | 14% | - Requirements of capital market institutions - General provisions - Licensing financial activities |
| Topic 4: Markets | 11% | - General background - Disclosure and Transparency |
| Topic 5: Investment Funds | 11% | - The local fund - Provisions specific to certain public funds |
| Topic 6: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Topic 7: Trading | 11% | |
| Topic 8: The Regulatory Infrastructure | 17% | - License categories and requirements (Decision No. 13/Chairman issued 2021) - Securities & Commodities Authority (SCA) - Codes of Conduct - Federal Law No. 4 of 2000 - SCA Resolutions - Accounting system controls (Decision No. 13/Chairman issued 2021) - Corporate Governance (Law No. 3 issued Jan 2020) |
CISI UAE Financial Rules and Regulations Sample Questions:
Question 1
For all local funds, a semi-annual report on the public fund's performance must be prepared no later than:
A. 2 months from the end of the semi-annual period
B. 30 days from the end of the financial year
C. 2 months from the end of the financial year
D. 45 days from the end of the semi-annual period
Question 2
The minimum price movement for a West Texas Intermediate (WTI) Light Sweet Oil Futures contract is:
A. USS 25 per barrel
B. LISS 0.01 per barrel
C. USS 100 per barrel
D. USS 1 per barrel
Question 3
The Authority is permitted to cancel the licence of a licensed body if it fails to practise any financial activity within what prescribed period after obtaining the category licence?
A. 24 months
B. 6 months
C. 18 months
D. 12 months
Question 4
What happens if a listed company has its shares suspended for six months or more?
A. They are placed under greater regulatory scrutiny
B. They face a potential fine from the Authority
C. They are moved to a second category of listing
D. They are moved to a first category of listing
Question 5
The minimum price movement for an MSCI India Index Futures (INR) contract is:
A. 0.25 index points
B. 0.5 index points
C. US$1.00
D. US$0.01
Solutions:
| Question 1 Answer: A | Question 2 Answer: B | Question 3 Answer: B | Question 4 Answer: C | Question 5 Answer: B |
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