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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Client Protection | 20% | - Client identification and classification - Client assets and money protection - Communications, reporting and complaints handling |
| Markets | 10% | - Listing and admission requirements - UAE exchanges: DFM, ADX, NASDAQ Dubai - Trading and settlement rules |
| Trading | 20% | - Trading rules and mechanisms - Reporting and compliance requirements - Market integrity and surveillance |
| Market Conduct Legislation and Regulation | 28% | - Insider dealing and market abuse - Disclosure and transparency obligations - Financial crime, AML and CFT regulations |
| The Regulatory Infrastructure | 10% | - Legislative framework and regulatory objectives - Roles and powers of regulators - Regulatory bodies: SCA, CBUAE, DFSA, FSRA |
| Authorised Persons | 6% | - Obligations of authorized firms and individuals - Conduct of business rules - Licensing and authorization requirements |
| Associated Market and Securities Legislation and Practice | 6% | - Securities laws and regulations - Legal obligations of market participants - Market operation rules |
CISI UAE Financial Rules and Regulations Sample Questions:
A brokerage firm's records include client agreements, selling orders and accounts. Under the Professional Code of Conduct, which of these does the DFM have the right to access and review?
- A. Accounts and client agreements only
- B. Client agreements and selling orders only
- C. Selling orders and accounts only
- D. Client agreements, selling orders and accounts
Explanation: Only visible for Lead2Passed members. You can sign-up / login (it's free).
Designated non-financial businesses and professions are banned under the regulations from dealing with which type of organisation?
- A. Mutual co-operatives
- B. Non-profit organisations
- C. Shell banks
- D. Benefit corporations
Explanation: Only visible for Lead2Passed members. You can sign-up / login (it's free).
The role of the authorised agent of the exchange-traded fund (ETF) is to:
- A. announce the net value of the unit's assets on a daily basis
- B. ensure that the transfer of ownership of units is completed
- C. regularly announce the indicative value of the net value of assets
- D. update sell and buy orders
Explanation: Only visible for Lead2Passed members. You can sign-up / login (it's free).
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. An operational risk matrix
- B. SWOT analysis
- C. Comparison with the same sector
- D. A stress testing exercise
Explanation: Only visible for Lead2Passed members. You can sign-up / login (it's free).
Which category of firm is required to provide accounts using a 'Unified Centralised Back Office System'?
- A. Category 2 - Dealing in investments
- B. Category 1 - Dealing in securities
- C. Category 3 - Custody, clearing and recording
- D. Category 4 - Credit rating agencies
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