- Exam Code: UAE-Financial-Rules-and-Regulations
- Exam Name: CISI UAE Financial Rules and Regulations Exam
- Certification Provider: CISI
- Corresponding Certification:Investment Operations Certificate (IOC)
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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: The Regulatory Infrastructure | 17% | - Corporate Governance (Law No. 3 issued Jan 2020) - License categories and requirements (Decision No. 13/Chairman issued 2021) - Codes of Conduct - SCA Resolutions - Federal Law No. 4 of 2000 - Securities & Commodities Authority (SCA) - Accounting system controls (Decision No. 13/Chairman issued 2021) |
| Topic 2: Markets | 11% | - General background - Disclosure and Transparency |
| Topic 3: Investment Funds | 11% | - The local fund - Provisions specific to certain public funds |
| Topic 4: Trading | 11% | |
| Topic 5: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Topic 6: Licensed Bodies | 14% | - General provisions - Requirements of capital market institutions - Licensing financial activities |
| Topic 7: Client Protection | 10% | |
| Topic 8: Dubai Financial Market (DFM) | 11% |
CISI UAE Financial Rules and Regulations Sample Questions:
Unless otherwise agreed, a broker must submit to the client a statement of account that outlines the client's balance of securities and cash, and all transactions executed every:
- A. 6 months
- B. month
- C. 12 months
- D. 3 months
Correct Answer: B 🗳️
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If a discrepancy comes to light when conducting an external reconciliation, what must the firm do?
- A. Immediately suspend operations with the third party
- B. Immediately inform the regulator verbally and follow this up in writing
- C. Investigate and correct it as soon as possible
- D. Close the client's account by close of business on the same day
Correct Answer: C 🗳️
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In order to deal in securities, what minimum level of paid-up capital must a firm have?
- A. AED 20 million
- B. AED 10 million
- C. AED 30 million
- D. AED 50 million
Correct Answer: C 🗳️
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What action will the CSD Department take shortly after uploading a shareholders' register onto the ADX's electronic systems?
- A. Issue e-registration slips to all the shareholders
- B. Place a back-up copy off-site for disaster-recovery purposes
- C. Notify the Authority that this process has been completed
- D. Send a copy of the e-register to the issuer for reconciliation purposes
Correct Answer: D 🗳️
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The summary of an in-kind shares evaluation report must state the:
- A. Evaluator's company
- B. Fair value of the asset
- C. Book value of the asset
- D. Qualifications of the evaluator
Correct Answer: B 🗳️
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