PDF Version DemoCISI UAE-Financial-Rules-and-Regulations Exam Overview:
| Certification Vendor: | CISI |
|---|---|
| Exam Name: | UAE Financial Rules and Regulations |
| Exam Number: | UAE-RR |
| Exam Format: | Multiple Choice |
| Passing Score: | 70% |
| Real Exam Qty: | 100 |
| Available Languages: | English |
| Exam Duration: | 120 minutes |
| Sample Questions: | CISI UAE-Financial-Rules-and-Regulations Sample Questions |
| Exam Way: | Computer Based Testing (CBT) |
| Official Syllabus URL: | https://www.cisi.org/go/uae-financial-rules-and-regulations |
CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Investment Funds | 11% | - The local fund - Provisions specific to certain public funds |
| Licensed Bodies | 14% | - Requirements of capital market institutions - Licensing financial activities - General provisions |
| Dubai Financial Market (DFM) | 11% | |
| The Regulatory Infrastructure | 17% | - SCA Resolutions - Codes of Conduct - Federal Law No. 4 of 2000 - Securities & Commodities Authority (SCA) - Accounting system controls (Decision No. 13/Chairman issued 2021) - License categories and requirements (Decision No. 13/Chairman issued 2021) - Corporate Governance (Law No. 3 issued Jan 2020) |
| Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Trading | 11% | |
| Markets | 11% | - General background - Disclosure and Transparency |
| Client Protection | 10% |
CISI UAE Financial Rules and Regulations Sample Questions:
Question #1
In cases where securities are bought and sold during the same trading session, the client must have in its cash account enough:
A. credit to cover the value of any losses
B. credit to cover the value of purchase
C. securities to the value of purchase
D. credit to cover the value of sale
Question #2
Brokers must pay the value of securities sold on behalf of their clients, after deducting commissions and fees, before:
A. The end of four days or the end of the settlement period set by the DFM
B. The end of one day or the end of the settlement period set by the DFM
C. The end of three days or the end of the settlement period set by the DFM
D. The end of two days or the end of the settlement period set by the DFM
Question #3
The approved job for conducting securities dealing is:
A. Broker Representative
B. Category Manager
C. Trading Manager
D. Operations Manager
Question #4
The Corporate Governance Guide automatically allows board members of public joint-stock companies to accept gifts up to what maximum stated value?
A. AED 200
B. AED 500
C. AED 100
D. AED 300
Question #5
A firm which intends to send advertising material directly to a client has been correctly advised that many of the financial promotion rules are inapplicable. This is because:
A. The client is a politically exposed person
B. The client is an eligible counterparty
C. The firm has fewer than five full-time employees
D. The firm offers purely execution-only services
Solutions:
| Question #1 Correct Answer: B | Question #2 Correct Answer: D | Question #3 Correct Answer: A | Question #4 Correct Answer: D | Question #5 Correct Answer: B |
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