CISI : UAE-Financial-Rules-and-Regulations Questions & Answers
Updated: Aug 26, 2026
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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Trading | 11% | |
| Topic 2: Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Topic 3: Licensed Bodies | 14% | - General provisions - Requirements of capital market institutions - Licensing financial activities |
| Topic 4: Markets | 11% | - General background - Disclosure and Transparency |
| Topic 5: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Topic 6: The Regulatory Infrastructure | 17% | - Federal Law No. 4 of 2000 - Securities & Commodities Authority (SCA) - SCA Resolutions - Codes of Conduct - Corporate Governance (Law No. 3 issued Jan 2020) - Accounting system controls (Decision No. 13/Chairman issued 2021) - License categories and requirements (Decision No. 13/Chairman issued 2021) |
| Topic 7: Dubai Financial Market (DFM) | 11% | |
| Topic 8: Client Protection | 10% |
CISI UAE Financial Rules and Regulations Sample Questions:
1. When a company applies to become a Special Purpose Acquisition Company, its sponsors must prepare proposals to:
A) manage conflicts of interest
B) deal with succession planning
C) reduce the risk to investors
D) identify potential money laundering
2. The written agreement between a crypto asset custodian and the holders of these assets must set out the procedures that will be adopted to identify and prevent:
A) The holding of keys by any of its employees
B) The ownership of the assets by persons who are not qualified investors
C) The assets being used to disproportionately benefit one investor over another
D) The execution of multiple instructions in respect of the same transaction
3. The last trading day for an India Gold Quanto Futures contract is:
A) the 25th calendar day of the delivery month
B) one business day prior to the last business day of the delivery month
C) four business days prior to the 25th calendar day of the delivery month
D) two business days prior to the last business day of the delivery month
4. What rule applies to a foreign brokerage company applying for remote access to the ADX if it has previously been refused a licence by a regulator equivalent to the Authority?
A) The company will be required to provide additional collateral
B) The application will be reviewed by the board of the ADX
C) The application will automatically be rejected
D) The company will only be granted limited privileges
5. When applying for an Authority licence to operate a crypto fundraising platform, the need to demonstrate the independence of its fundraising functions is required only if the operator:
A) Owns crypto assets as a separate entity
B) Intends conducting other financial services activities
C) Plans to issue security tokens
D) Is a subsidiary of another financial institution
Solutions:
| Question # 1 Answer: A | Question # 2 Answer: D | Question # 3 Answer: D | Question # 4 Answer: C | Question # 5 Answer: B |
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