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Updated: Aug 12, 2026
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CISI UAE-Financial-Rules-and-Regulations Exam Overview:
| Certification Vendor: | CISI |
| Exam Name: | CISI UAE Financial Rules and Regulations Exam |
| Exam Number: | UAE-Financial-Rules-and-Regulations |
| Available Languages: | English |
| Recommended Training: | CISI Learning and Qualifications |
| Exam Registration: | CISI Official Website |
| Sample Questions: | CISI UAE-Financial-Rules-and-Regulations Sample Questions |
| Exam Way: | Typically delivered via CISI approved examination centers or online proctored delivery (varies by region and provider arrangement). |
| Pre Condition: | No formal prerequisite specified; recommended basic understanding of financial services regulation. |
| Official Syllabus URL: | https://www.cisi.org |
CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: Regulatory Ethics and Professional Standards | - Ethical standards in financial services
|
| Topic 2: Anti-Money Laundering and Financial Crime | - AML/CFT requirements in the UAE
|
| Topic 3: Financial Conduct and Compliance | - Conduct of business standards
|
| Topic 4: UAE Financial Regulatory Framework | - Securities and investment regulation
|
CISI UAE Financial Rules and Regulations Sample Questions:
1. A real estate investment fund may borrow no more than what percentage of its total assets value?
A) 75%
B) 50%
C) 25%
D) 10%
2. If an issuer provides its shareholders with bonus shares, then the CSD Department will deposit the bonus shares issued in the account and will register them as a whole, round number. What happens in the case that there are fractions of shares?
A) The issuing company must sell them within 30 days
B) These are also added to the shareholder's account
C) They are totalled up and put in a suspense account
D) The issuing company must sell them within 45 days
3. In order to be authorised to deal in investments, which of the following professional roles would the Authority expect to see within the firm?
A) Broker Representative
B) Trading Manager
C) Compliance Officer
D) Operations Manager
4. Why would a transaction to purchase securities be declared null and void?
A) It was the result of a rumour being spread
B) The investor has a conviction of an offence of dishonour
C) The individual is a former employee
D) The Authority has levied a penalty for delay of payment
5. Where a brokerage firm on the DFM has a client with a debit balance, the regulations prevent the firm from:
A) paying any cash to the client
B) selling securities on the client's behalf
C) accepting new orders from the client
D) providing investment advice to the client
Solutions:
| Question # 1 Answer: B | Question # 2 Answer: C | Question # 3 Answer: A | Question # 4 Answer: A | Question # 5 Answer: C |
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