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

SectionObjectives
UAE Financial Regulatory Framework- Securities and investment regulation
  • 1. Regulation of securities markets in the UAE
    • 2. Market conduct and compliance requirements
      - Federal financial regulation structure
      • 1. Overview of UAE financial governance bodies
        • 2. Roles of central financial authorities
          Anti-Money Laundering and Financial Crime- Financial crime prevention
          • 1. Fraud prevention controls
            • 2. Sanctions compliance obligations
              - AML/CFT requirements in the UAE
              • 1. Suspicious transaction reporting
                • 2. Customer due diligence (CDD) and KYC
                  Regulatory Ethics and Professional Standards- Ethical standards in financial services
                  • 1. Conflicts of interest management
                    • 2. Professional integrity expectations
                      - Regulatory accountability
                      • 1. Responsibilities of financial professionals
                        • 2. Regulatory reporting obligations
                          Financial Conduct and Compliance- Compliance and supervision
                          • 1. Internal controls and governance
                            • 2. Compliance monitoring frameworks
                              - Conduct of business standards
                              • 1. Fair dealing and market integrity principles
                                • 2. Client suitability and disclosure obligations

                                  CISI UAE Financial Rules and Regulations Sample Questions:

                                  Question 1

                                  When promoting private funds, related materials must:

                                  A. refrain from using public advertisement media of certain types, including audio and video, with the exception of read media
                                  B. clarify the private fund's specific nature and include the required disclaimer laid down by the Authority
                                  C. advise that the funds cannot be transferred to a third party
                                  D. receive prior approval of the content from the Authority


                                  Question 2

                                  If in-kind shares are provided when the fund is founded; if the subscription fails and there is no special agreement, who would bear the expenses?

                                  A. Evaluators
                                  B. Share providers
                                  C. Auditors
                                  D. Founders


                                  Question 3

                                  A firm offering custody, clearing and recording, is required to have a minimum paid-up capital of:

                                  A. AED 30 million
                                  B. AED 150 million
                                  C. AED 50 million
                                  D. AED 100 million


                                  Question 4

                                  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. 2%
                                  B. 5%
                                  C. 1%
                                  D. 10%


                                  Question 5

                                  Firms providing investment management services must provide periodic statements to retail clients, in normal circumstances at least every:

                                  A. 3 months
                                  B. month
                                  C. 6 months
                                  D. 12 months


                                  Solutions:

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

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