Last Updated: Oct 21, 2026
No. of Questions: 188 Questions & Answers with Testing Engine
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| Section | Weight | Objectives |
|---|---|---|
| Market Conduct Legislation and Regulation | 28% | - Financial crime, AML and CFT regulations - Disclosure and transparency obligations - Insider dealing and market abuse |
| Authorised Persons | 6% | - Licensing and authorization requirements - Obligations of authorized firms and individuals - Conduct of business rules |
| Associated Market and Securities Legislation and Practice | 6% | - Market operation rules - Legal obligations of market participants - Securities laws and regulations |
| The Regulatory Infrastructure | 10% | - Legislative framework and regulatory objectives - Roles and powers of regulators - Regulatory bodies: SCA, CBUAE, DFSA, FSRA |
| Trading | 20% | - Trading rules and mechanisms - Reporting and compliance requirements - Market integrity and surveillance |
| Markets | 10% | - UAE exchanges: DFM, ADX, NASDAQ Dubai - Trading and settlement rules - Listing and admission requirements |
| Client Protection | 20% | - Client identification and classification - Client assets and money protection - Communications, reporting and complaints handling |
The CISI UAE Financial Rules and Regulations blueprint spans 7 domains — including Markets (10%), Authorised Persons (6%), The Regulatory Infrastructure (10%). Spend your hours where the percentages are; the full outline above lists every subtopic.
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No mandatory prerequisites; recommended for finance professionals working in UAE regulated environment Vendors adjust eligibility rules over time — verify the current requirements on the official page (official UAE-Financial-Rules-and-Regulations exam page) before registering.
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The CISI UAE Financial Rules and Regulations is CISI's official exam for the Investment Operations Certificate (IOC), Capital Markets Programme certification, at the Entry Level / Level 1 level. It validates practical, job-relevant skills — which is why employers shortlist certified candidates. Related credentials include CISI Capital Markets Programme, CISI Investment Operations Certificate.
Which of the following features of a previous order can be changed with the order remaining valid?
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During an investigation, what should a licensed body do if it discovers that any of the submitted documents or information are incorrect, misleading or have been changed?
Correct Answer: B 🗳️
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The watch list, which is monitored by an Authority-established committee, consists of which group of companies?
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A Special Purpose Acquisition Company deposited 95% of its public subscription proceeds into an escrow account. It is permitted to use this money to:
Correct Answer: D 🗳️
Financial institutions must retain all records, documents, data and statistics for all financial transactions and local or international commercial and cash transactions for a period of no less than:
Correct Answer: B 🗳️
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