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Last Updated: Aug 26, 2026

No. of Questions: 188 Questions & Answers with Testing Engine

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

SectionWeightObjectives
The Regulatory Infrastructure10%- Regulatory bodies: SCA, CBUAE, DFSA, FSRA
- Legislative framework and regulatory objectives
- Roles and powers of regulators
Trading20%- Reporting and compliance requirements
- Trading rules and mechanisms
- Market integrity and surveillance
Authorised Persons6%- Obligations of authorized firms and individuals
- Licensing and authorization requirements
- Conduct of business rules
Client Protection20%- Client identification and classification
- Communications, reporting and complaints handling
- Client assets and money protection
Market Conduct Legislation and Regulation28%- Insider dealing and market abuse
- Financial crime, AML and CFT regulations
- Disclosure and transparency obligations
Markets10%- Trading and settlement rules
- UAE exchanges: DFM, ADX, NASDAQ Dubai
- Listing and admission requirements
Associated Market and Securities Legislation and Practice6%- Securities laws and regulations
- Market operation rules
- Legal obligations of market participants

CISI UAE Financial Rules and Regulations Sample Questions:

1. If there is a material change in the nature of the relevant software, the regulations state that investors who have accepted an offer of crypto assets must be notified:

A) promptly in advance
B) immediately after implementation
C) within no less than 14 days
D) within no less than 7 days


2. Where an existing public company wants to issue further shares via a rights issue, this must be announced at least what minimum period before the start date of the subscription?

A) 56 calendar days
B) 20 business days
C) 28 calendar days
D) 40 business days


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

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


4. 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) Share providers
B) Evaluators
C) Founders
D) Auditors


5. Where a financial analyst wants to conduct a personal transaction which relates to investment research being undertaken, what additional requirement is normally imposed?

A) Signing of a guarantee undertaking
B) Approval from the firm's legal or compliance department
C) Approval from the Authority or Central Bank
D) Signing of a non-conflict disclaimer


Solutions:

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

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