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  • Exam Code: UAE-Financial-Rules-and-Regulations
  • Exam Name: CISI UAE Financial Rules and Regulations Exam
  • No. of Questions: 102 Questions and Answers
  • Updated: Jul 31, 2026

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

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

                                  CISI UAE Financial Rules and Regulations Sample Questions:

                                  1. The watch list, which is monitored by an Authority-established committee, consists of which group of companies?

                                  A) All public companies which have declared losses in the last 12 months
                                  B) Companies in the first category
                                  C) Companies in the second category
                                  D) All private companies which have declared losses in the last 12 months


                                  2. Where self-fund founders intend to accept in-kind shares, the fund prospectus must state whether these shares:

                                  A) will be held as capital assets of the fund
                                  B) are consistent with the fund's investment strategy
                                  C) may subsequently be disposed of
                                  D) are to be valued subjectively


                                  3. An application submitted to the ADX by the brokerage company to enable it to supply E-Trading services will result in a decision to approve or reject the application within:

                                  A) 10 days
                                  B) 5 days
                                  C) 2 days
                                  D) 30 days


                                  4. The approved job for conducting securities dealing is:

                                  A) Broker Representative
                                  B) Operations Manager
                                  C) Category Manager
                                  D) Trading Manager


                                  5. Where a client is a legal person, the customer due diligence obligations require verification of identity for any natural persons holding what minimum controlling ownership interest?

                                  A) 3%
                                  B) 25%
                                  C) 10%
                                  D) 51%


                                  Solutions:

                                  Question # 1
                                  Answer: A
                                  Question # 2
                                  Answer: B
                                  Question # 3
                                  Answer: B
                                  Question # 4
                                  Answer: A
                                  Question # 5
                                  Answer: B

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