CISI UAE-Financial-Rules-and-Regulations test insides dumps : CISI UAE Financial Rules and Regulations Exam

CISI UAE-Financial-Rules-and-Regulations test insides dumps
  • Exam Code: UAE-Financial-Rules-and-Regulations
  • Exam Name: CISI UAE Financial Rules and Regulations Exam
  • Updated: Oct 10, 2026
  • Q & A: 188 Questions and Answers
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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:

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

CISI UAE Financial Rules and Regulations Sample Questions:

Question #1

An in-kind shares evaluation report must be based on data covering what maximum period before the evaluation date?

  • A. Three months
  • B. Four months
  • C. One month
  • D. Two months
Reveal Solution  Discussion  0

Correct Answer: A  🗳️

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Question #2

A Special Purpose Acquisition Company which wants to make its shares available to the public intends to appoint a risk consultant, a listing consultant and a financial consultant. Which of these appointments is required under the regulations?

  • A. Listing consultant and financial consultant only
  • B. Risk consultant and listing consultant only
  • C. Financial consultant and risk consultant only
  • D. Risk consultant, listing consultant and financial consultant
Reveal Solution  Discussion  0

Correct Answer: A  🗳️

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Question #3

A licensed person who conducts financial activities related to security tokens is required to carry out a suitability check only if:

  • A. the client is not a qualified investor
  • B. the token falls into the high risk category
  • C. the amount being invested exceeds AED 100,000
  • D. the licensed person has less than 3 years' relevant experience
Reveal Solution  Discussion  0

Correct Answer: A  🗳️

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Question #4

In order to be authorised to provide custody, clearing and recording services, which of the following professional roles would the Authority expect to see within a firm acting as registrar of a private joint-stock company?

  • A. Investment Manager
  • B. Broker Representative
  • C. Operations Manager
  • D. Category Manager
Reveal Solution  Discussion  0

Correct Answer: D  🗳️

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Question #5

Where an applicant for a financial activities licence uses a cloud-based server, they must set out provisions to ensure the outsourced party can operate with zero data loss for what stated period?

  • A. Three years
  • B. Ten years
  • C. Seven years
  • D. Five years
Reveal Solution  Discussion  0

Correct Answer: D  🗳️

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