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Updated: Oct 12, 2026
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CISI UAE-Financial-Rules-and-Regulations Exam Overview:
| Certification Vendor: | CISI |
|---|---|
| Exam Name: | CISI UAE Financial Rules and Regulations Exam |
| Exam Number: | UAE-Financial-Rules-and-Regulations |
| Available Languages: | English |
| Recommended Training: | CISI Learning and Qualifications |
| Exam Registration: | CISI Official Website |
| Sample Questions: | CISI UAE-Financial-Rules-and-Regulations Sample Questions |
| Exam Way: | Typically delivered via CISI approved examination centers or online proctored delivery (varies by region and provider arrangement). |
| Pre Condition: | No formal prerequisite specified; recommended basic understanding of financial services regulation. |
| Official Syllabus URL: | https://www.cisi.org |
CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: Financial Conduct and Compliance | - Compliance and supervision
|
| Topic 2: UAE Financial Regulatory Framework | - Federal financial regulation structure
|
| Topic 3: Anti-Money Laundering and Financial Crime | - Financial crime prevention
|
| Topic 4: Regulatory Ethics and Professional Standards | - Ethical standards in financial services
|
CISI UAE Financial Rules and Regulations Sample Questions:
In order to deal in securities, what minimum level of paid-up capital must a firm have?
- A. AED 30 million
- B. AED 10 million
- C. AED 20 million
- D. AED 50 million
Correct Answer: A 🗳️
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An applicant for a license from the Authority has submitted a feasibility study and work plan. What method will be used to evaluate this?
- A. Comparison with the same sector
- B. A stress testing exercise
- C. SWOT analysis
- D. An operational risk matrix
Correct Answer: C 🗳️
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DFM brokerage firms are required to ensure that employees have appropriate professional experience if they:
- A. are on full-time or substantial part-time contracts
- B. are employed to deal with clients or on their behalf
- C. are new to the company or the industry
- D. are employed to operate an electronic trading or clearing system
Correct Answer: B 🗳️
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For how many days after issuing a report must an in-kind shares evaluator refrain from trading in securities associated with the subject of the evaluation?
- A. 10 days
- B. 15 days
- C. 5 days
- D. 30 days
Correct Answer: C 🗳️
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When an application is made to list a crypto asset on a crypto asset exchange, the documentation provided to the Authority must include details of:
- A. Any hacking vulnerabilities of the underlying technology
- B. Any losses previously incurred by the applicant
- C. The confidentiality agreement with the software provider
- D. The methods of disaster recovery proposed
Correct Answer: A 🗳️
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