CISI UAE-Financial-Rules-and-Regulations Exam : CISI UAE Financial Rules and Regulations Exam

  • Exam Code: UAE-Financial-Rules-and-Regulations
  • Exam Name: CISI UAE Financial Rules and Regulations Exam
  • Updated: Jul 21, 2026
  • Q & A: 102 Questions and Answers

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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:

SectionObjectives
Topic 1: UAE Financial Regulatory Framework- Securities and investment regulation
  • 1. Regulation of securities markets in the UAE
    • 2. Market conduct and compliance requirements
      - Federal financial regulation structure
      • 1. Roles of central financial authorities
        • 2. Overview of UAE financial governance bodies
          Topic 2: Anti-Money Laundering and Financial Crime- Financial crime prevention
          • 1. Sanctions compliance obligations
            • 2. Fraud prevention controls
              - AML/CFT requirements in the UAE
              • 1. Suspicious transaction reporting
                • 2. Customer due diligence (CDD) and KYC
                  Topic 3: Financial Conduct and Compliance- Conduct of business standards
                  • 1. Client suitability and disclosure obligations
                    • 2. Fair dealing and market integrity principles
                      - Compliance and supervision
                      • 1. Internal controls and governance
                        • 2. Compliance monitoring frameworks
                          Topic 4: Regulatory Ethics and Professional Standards- Ethical standards in financial services
                          • 1. Professional integrity expectations
                            • 2. Conflicts of interest management
                              - Regulatory accountability
                              • 1. Responsibilities of financial professionals
                                • 2. Regulatory reporting obligations

                                  CISI UAE Financial Rules and Regulations Sample Questions:

                                  1. 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 licensed person has less than 3 years' relevant experience
                                  C) the token falls into the high risk category
                                  D) the amount being invested exceeds AED 100,000


                                  2. The Authority will only grant a licence to operate a crypto fundraising platform in the UAE if the applicant is a legal person in the form of:

                                  A) a company incorporated under Shariah law
                                  B) a sophisticated trader or a qualified investor
                                  C) an exchange licensed by a market in the UAE
                                  D) an exchange licensed by the Authority in the UAE


                                  3. If a listed company faces accumulated losses of 50% or more of capital, what is required to happen?

                                  A) It is moved from a second category listing to a first category of listing
                                  B) Its shares are suspended for at least six months
                                  C) It is moved from a first category listing to a second category of listing
                                  D) It is required to be audited more frequently


                                  4. An obligor with a retail primary listing of Sukuk immediately notified the Authority when one of its board directors was replaced. Why was the obligor considered to be in breach of its continuing obligations?

                                  A) The new director had less than 5 years' experience
                                  B) The obligor failed to give 14 days' notice
                                  C) The new director held a foreign passport
                                  D) The obligor failed to also notify the market


                                  5. Why would the Authority board resolve temporarily to halt trading in the shares of any company?

                                  A) A written complaint is made relating to a market activity
                                  B) It does not have the technical equipment necessary to conduct its activity electronically
                                  C) It transpires that the spouse of a board member is a director of that entity
                                  D) A threat to the proper and regular working of that market arises


                                  Solutions:

                                  Question # 1
                                  Answer: A
                                  Question # 2
                                  Answer: D
                                  Question # 3
                                  Answer: C
                                  Question # 4
                                  Answer: D
                                  Question # 5
                                  Answer: D

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