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Exam Code: UAE-Financial-Rules-and-Regulations
Exam Name: CISI UAE Financial Rules and Regulations Exam
Certification Provider: CISI
Corresponding Certification: Investment Operations Certificate (IOC)
Exam Name: CISI UAE Financial Rules and Regulations Exam
Certification Provider: CISI
Corresponding Certification: Investment Operations Certificate (IOC)
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Updated: Oct 08, 2026
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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| The Regulatory Infrastructure | 10% | - Roles and powers of regulators - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Legislative framework and regulatory objectives |
| Trading | 20% | - Trading rules and mechanisms - Reporting and compliance requirements - Market integrity and surveillance |
| Client Protection | 20% | - Client assets and money protection - Client identification and classification - Communications, reporting and complaints handling |
| Authorised Persons | 6% | - Obligations of authorized firms and individuals - Conduct of business rules - Licensing and authorization requirements |
| Market Conduct Legislation and Regulation | 28% | - Insider dealing and market abuse - Financial crime, AML and CFT regulations - Disclosure and transparency obligations |
| Associated Market and Securities Legislation and Practice | 6% | - Securities laws and regulations - Legal obligations of market participants - Market operation rules |
| Markets | 10% | - UAE exchanges: DFM, ADX, NASDAQ Dubai - Trading and settlement rules - Listing and admission requirements |
CISI UAE Financial Rules and Regulations Sample Questions:
Which of the following is a sanction available to the Authority in the event of a violation of its provisions?
- A. Suspend the licensed body for a period of two years
- B. Impose a financial fine of not more than AED 100,000
- C. Suspend any financial activity practised during an investigation
- D. Impose a financial fine of not less than AED 100,000
Correct Answer: D 🗳️
Explanation: Only visible for iPassleader members. You can sign-up / login (it's free).
Where debt instruments are held by cash investment funds, the credit rating of these instruments must reach what minimum threshold?
- A. BB+
- B. BBB+
- C. BBB
- D. BB
Correct Answer: B 🗳️
Explanation: Only visible for iPassleader members. You can sign-up / login (it's free).
The policies of a firm applying for a financial activities licence must include arrangements to provide a copy of its complaints handling procedure to clients:
- A. within 48 hours of accepting the client
- B. on request
- C. on receipt of a complaint
- D. within 24 hours of accepting the client
Correct Answer: B 🗳️
Explanation: Only visible for iPassleader members. You can sign-up / login (it's free).
An Insiders Register should be prepared for securities issued by:
- A. The company and parent company only
- B. The company concerned only
- C. The company, the parent company, its subsidiaries or related companies
- D. The company, the parent company and its subsidiaries only
Correct Answer: C 🗳️
Explanation: Only visible for iPassleader members. You can sign-up / login (it's free).
The watch list, which is monitored by an Authority-established committee, consists of which group of companies?
- A. Companies in the second category
- B. Companies in the first category
- C. All private companies which have declared losses in the last 12 months
- D. All public companies which have declared losses in the last 12 months
Correct Answer: D 🗳️
Explanation: Only visible for iPassleader members. You can sign-up / login (it's free).
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