CISI : UAE-Financial-Rules-and-Regulations Questions & Answers

Last Updated: Aug 18, 2026

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

SectionWeightObjectives
Dubai Financial Market (DFM)11%
Licensed Bodies14%- Requirements of capital market institutions
- Licensing financial activities
- General provisions
Markets11%- General background
- Disclosure and Transparency
Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations14%- Federal Law No. 20 of 2018
The Regulatory Infrastructure17%- SCA Resolutions
- Accounting system controls (Decision No. 13/Chairman issued 2021)
- Corporate Governance (Law No. 3 issued Jan 2020)
- Securities & Commodities Authority (SCA)
- Federal Law No. 4 of 2000
- License categories and requirements (Decision No. 13/Chairman issued 2021)
- Codes of Conduct
Investment Funds11%- The local fund
- Provisions specific to certain public funds
Client Protection10%
Trading11%

CISI UAE Financial Rules and Regulations Sample Questions:

1. An applicant for a license from the Authority has submitted a feasibility study and work plan. What method will be used to evaluate this?

A) Comparison with the same sector
B) A stress testing exercise
C) SWOT analysis
D) An operational risk matrix


2. Which of the following is one of the prescribed financial activities for which the Authority can issue a license?

A) Corporate planning
B) Risk management
C) Analysis
D) Promotion


3. What proportion of the market value of securities owned by a brokerage company are used to increase the value of its guarantee?

A) 80%
B) 60%
C) 70%
D) 50%


4. The minimum price movement for a West Texas Intermediate (WTI) Light Sweet Oil Futures contract is:

A) USS 100 per barrel
B) USS 25 per barrel
C) USS 1 per barrel
D) LISS 0.01 per barrel


5. The watch list, which is monitored by an Authority-established committee, consists of which group of companies?

A) Companies in the first category
B) Companies in the second 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


Solutions:

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

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