Try CISI : UAE-Financial-Rules-and-Regulations valid & accurate questions and answers

Last Updated: Aug 17, 2026

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

SectionWeightObjectives
Topic 1: Market Conduct Legislation and Regulation28%- Disclosure and transparency obligations
- Insider dealing and market abuse
- Financial crime, AML and CFT regulations
Topic 2: Client Protection20%- Communications, reporting and complaints handling
- Client identification and classification
- Client assets and money protection
Topic 3: Markets10%- Listing and admission requirements
- UAE exchanges: DFM, ADX, NASDAQ Dubai
- Trading and settlement rules
Topic 4: Trading20%- Trading rules and mechanisms
- Reporting and compliance requirements
- Market integrity and surveillance
Topic 5: Associated Market and Securities Legislation and Practice6%- Securities laws and regulations
- Legal obligations of market participants
- Market operation rules
Topic 6: Authorised Persons6%- Conduct of business rules
- Obligations of authorized firms and individuals
- Licensing and authorization requirements
Topic 7: The Regulatory Infrastructure10%- Roles and powers of regulators
- Regulatory bodies: SCA, CBUAE, DFSA, FSRA
- Legislative framework and regulatory objectives

CISI UAE Financial Rules and Regulations Sample Questions:

1. Which of the following financial activities comes under the fifth category licence?

A) Dealing in investments
B) Credit rating agencies
C) Arrangement and advice
D) Dealing in securities


2. The minimum price movement for a West Texas Intermediate (WTI) Light Sweet Oil Futures contract is:

A) LISS 0.01 per barrel
B) USS 1 per barrel
C) USS 25 per barrel
D) USS 100 per barrel


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

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


4. Which of the following is one of the prescribed financial activities for which the Authority can issue a license?

A) Risk management
B) Corporate planning
C) Analysis
D) Promotion


5. If the mid-point is used to determine the theoretical auction price for a pre-closing session of the DFM, it is:

A) rounded to one decimal place
B) rounded down to the nearest price tick
C) rounded to two decimal places
D) rounded up to the nearest price tick


Solutions:

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

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