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Last Updated: Sep 12, 2026
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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Authorised Persons | 6% | - Obligations of authorized firms and individuals - Licensing and authorization requirements - Conduct of business rules |
| Markets | 10% | - Listing and admission requirements - Trading and settlement rules - UAE exchanges: DFM, ADX, NASDAQ Dubai |
| Market Conduct Legislation and Regulation | 28% | - Insider dealing and market abuse - Disclosure and transparency obligations - Financial crime, AML and CFT regulations |
| The Regulatory Infrastructure | 10% | - Legislative framework and regulatory objectives - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Roles and powers of regulators |
| Trading | 20% | - Trading rules and mechanisms - Reporting and compliance requirements - Market integrity and surveillance |
| Client Protection | 20% | - Client assets and money protection - Client identification and classification - Communications, reporting and complaints handling |
| Associated Market and Securities Legislation and Practice | 6% | - Legal obligations of market participants - Securities laws and regulations - Market operation rules |
CISI UAE Financial Rules and Regulations Sample Questions:
Where an applicant for a financial activities licence uses a cloud-based server, they must set out provisions to ensure the outsourced party can operate with zero data loss for what stated period?
- A. Ten years
- B. Five years
- C. Three years
- D. Seven years
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What does the Authority usually do before deciding to delist a company's shares?
- A. Consult with the relevant market
- B. Consult with the relevant firm
- C. Issue an improvement notice of 30 days
- D. Issue a fine for payment within 30 days
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Firms providing investment management services must also provide periodic statements, unless:
- A. They are provided by another party
- B. The client's portfolio is leveraged
- C. Investments are higher-risk securities
- D. The client requests not to receive them
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An Authority resolution was passed by the Chairman alone. Why was this possible?
- A. Board members abstained due to a conflict of interest
- B. It was an exceptional case where a quick decision needed to be taken, and it was impossible to hold a meeting of the Board
- C. It was impossible to hold a meeting with all Board members present
- D. The Chairman holds a casting vote which can be used whenever considered appropriate
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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. 9 months from the date of foundation
- B. 6 months from the date of foundation
- C. 12 months from the date of foundation
- D. 18 months from the date of foundation
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