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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| The Regulatory Infrastructure | 17% | - Securities & Commodities Authority (SCA) - Accounting system controls (Decision No. 13/Chairman issued 2021) - SCA Resolutions - Federal Law No. 4 of 2000 - License categories and requirements (Decision No. 13/Chairman issued 2021) - Codes of Conduct - Corporate Governance (Law No. 3 issued Jan 2020) |
| Dubai Financial Market (DFM) | 11% | |
| Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Client Protection | 10% | |
| Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Licensed Bodies | 14% | - Requirements of capital market institutions - Licensing financial activities - General provisions |
| Markets | 11% | - General background - Disclosure and Transparency |
| Trading | 11% |
UAE-Financial-Rules-and-Regulations Exam FAQ
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The UAE-Financial-Rules-and-Regulations exam is a CISI certification exam validating the skills in the CISI UAE Financial Rules and Regulations syllabus shown above. It counts toward these credential paths: . Candidates at many career stages take it in 2026 to demonstrate verified capability. TestsDumps prepares you with 188 practice questions in PDF, Desktop Test Engine, and Online Test Engine formats.
Everything, in one purchase: 188 practice questions for the CISI UAE Financial Rules and Regulations exam in three formats — a printable, expert-prepared PDF with instant download; a Desktop Test Engine for Windows that simulates the real exam with two practice modes and works offline; and an Online Test Engine for any browser on Windows, Mac, Android, and iOS with test history and performance review. You also receive a free demo, 365 days of free updates from a team that keeps innovating on the material, a 50% renewal discount afterward, unlimited installations, and considerate pre-sale and after-sale service.
The CISI UAE Financial Rules and Regulations exam contains 100 with 120 minutes to complete them. Practicing under the same time constraint with the TestsDumps Desktop Test Engine makes exam-day pacing feel rehearsed.
CISI defines eligibility for the CISI UAE Financial Rules and Regulations exam. Review the current requirements on the official CISI exam page before registering.
CISI recommends the following training for the CISI UAE Financial Rules and Regulations exam:
Supplement the training with the 188 practice questions from TestsDumps — self-testing reveals what training alone cannot.
The official CISI UAE Financial Rules and Regulations outline defines 8 domains, the three largest being Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations (14%), Investment Funds (11%), and The Regulatory Infrastructure (17%). The complete list is in the topics section above, and TestsDumps's 188 practice questions address every domain.
CISI UAE Financial Rules and Regulations Sample Questions:
Where an individual opens a trading account with a broker in order to trade securities listed on the ADX, the investor number allocated will be subdivided according to:
- A. The nationality of the investor
- B. The status of the investor's bank account
- C. The size of the investor's portfolio
- D. The tax status of the investor
Correct Answer: A 🗳️
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If the mid-point is used to determine the theoretical auction price for a pre-closing session of the DFM, it is:
- A. rounded up to the nearest price tick
- B. rounded to two decimal places
- C. rounded to one decimal place
- D. rounded down to the nearest price tick
Correct Answer: A 🗳️
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An appropriateness report must state:
- A. The professional status of the author
- B. The reasoning behind the assessment
- C. The consequences of ignoring the advice
- D. The validity period of the decision
Correct Answer: B 🗳️
Explanation: Only visible for TestsDumps members. You can sign-up / login (it's free).
A Special Purpose Acquisition Company which wants to make its shares available to the public intends to appoint a risk consultant, a listing consultant and a financial consultant. Which of these appointments is required under the regulations?
- A. Risk consultant, listing consultant and financial consultant
- B. Risk consultant and listing consultant only
- C. Listing consultant and financial consultant only
- D. Financial consultant and risk consultant only
Correct Answer: C 🗳️
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The founders of a local investment fund must not dispose of the investment units owned by them for a period of at least:
- A. 18 months from the date of foundation
- B. 9 months from the date of foundation
- C. 12 months from the date of foundation
- D. 6 months from the date of foundation
Correct Answer: D 🗳️
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