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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|
| Market Conduct Legislation and Regulation | 28% | - Insider dealing and market abuse
- Financial crime, AML and CFT regulations
- Disclosure and transparency obligations
|
| The Regulatory Infrastructure | 10% | - Regulatory bodies: SCA, CBUAE, DFSA, FSRA
- Roles and powers of regulators
- Legislative framework and regulatory objectives
|
| Trading | 20% | - Reporting and compliance requirements
- Market integrity and surveillance
- Trading rules and mechanisms
|
| Authorised Persons | 6% | - Obligations of authorized firms and individuals
- Licensing and authorization requirements
- Conduct of business rules
|
| Associated Market and Securities Legislation and Practice | 6% | - Market operation rules
- Legal obligations of market participants
- Securities laws and regulations
|
| Markets | 10% | - Trading and settlement rules
- UAE exchanges: DFM, ADX, NASDAQ Dubai
- Listing and admission requirements
|
| Client Protection | 20% | - Client assets and money protection
- Communications, reporting and complaints handling
- Client identification and classification
|
CISI UAE Financial Rules and Regulations Sample Questions:
1. The Depository Centre must periodically report to the Authority on shareholders who hold more than what threshold percentage of equity in the Centre's capital?
A) 15%
B) 5%
C) 10%
D) 3%
2. Which of the following conditions must an individual satisfy if they are to carry out an evaluation for an in- kind share transfer?
A) They must sign a declaration of impartiality
B) They must have at least three years' experience evaluating this type of asset
C) They must be a qualified accountant or auditor
D) They must be on an Authority list of provisionally or fully approved evaluators
3. Establishing a local investment fund requires the approval of the Authority, for a public fund this will either be granted or rejected within:
A) 20 working days
B) 30 working days
C) 10 working days
D) 5 working days
4. If an existing company wants to offer shares after conversion into a public joint-stock company, it must have released audited financial statements for what minimum number of fiscal years prior to the request to offer shares?
A) Two
B) Five
C) Four
D) Three
5. The minimum paid-up capital requirement for ranking and advice firms is:
A) AED 50 million
B) AED 5 million
C) AED 30 million
D) none
Solutions:
Question # 1
Answer: B | Question # 2
Answer: B | Question # 3
Answer: A | Question # 4
Answer: D | Question # 5
Answer: B |
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