Exam Name: CISI UAE Financial Rules and Regulations Exam
Certification Provider: CISI
Corresponding Certification: Investment Operations Certificate (IOC)
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UAE-Financial-Rules-and-Regulations PDF Practice Q&A's
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- Total Questions: 188
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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Trading | 11% | |
| Topic 2: The Regulatory Infrastructure | 17% | - Corporate Governance (Law No. 3 issued Jan 2020) - Codes of Conduct - License categories and requirements (Decision No. 13/Chairman issued 2021) - Accounting system controls (Decision No. 13/Chairman issued 2021) - Federal Law No. 4 of 2000 - SCA Resolutions - Securities & Commodities Authority (SCA) |
| Topic 3: Client Protection | 10% | |
| Topic 4: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Topic 5: Markets | 11% | - Disclosure and Transparency - General background |
| Topic 6: Licensed Bodies | 14% | - General provisions - Requirements of capital market institutions - Licensing financial activities |
| Topic 7: Dubai Financial Market (DFM) | 11% | |
| Topic 8: Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
CISI UAE Financial Rules and Regulations Sample Questions:
The offence of tipping off leads to:
- A. Imprisonment for life and/or a penalty of no less than AED 100,000 and no more than AED 5,000,000
- B. Imprisonment for no less than six years and/or a penalty of no less than AED 100,000 and no more than AED 500,000
- C. Imprisonment for no less than six months and/or a penalty of no less than AED 100,000 and no more than AED 500,000
- D. Imprisonment for no less than six months and/or a penalty of no less than AED 1,000,000 and no more than AED 5,000,000
Correct Answer: C 🗳️
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The minimum paid-up capital requirement for ranking and advice firms is:
- A. AED 30 million
- B. AED 5 million
- C. none
- D. AED 50 million
Correct Answer: B 🗳️
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Membership of an Authority regulated market is obligatory for which of the following entities?
- A. Listed joint-stock companies, licensed brokers and other listed entities
- B. Licensed brokers
- C. Listed joint-stock companies and licensed brokers
- D. Listed joint-stock companies, licensed brokers and any other type of business entity
Correct Answer: A 🗳️
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The market must provide an electronic trading system which ensures:
- A. Provision of trading accounts that can be opened in the names of two or more investors without the requirement for Authority approval
- B. The ability to manually stop purchase orders which exceed the limits of the broker's bank guarantee or reach the limit of a special order
- C. Privacy to enable all companies and entities whose securities are listed in the market, and their registrars, to keep the information secret
- D. The automatic stopping of purchase orders which exceed the limits of the broker's bank guarantee or reach the limit of a special order
Correct Answer: D 🗳️
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The contract size for an India Gold Quanto Futures contract is:
- A. One lot
- B. 32 troy ounces
- C. 1,000 grammes
- D. 1,000 troy ounces
Correct Answer: A 🗳️
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