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CISI UAE-Financial-Rules-and-Regulations Exam Braindumps - in .pdf Free Demo

  • Exam Code: UAE-Financial-Rules-and-Regulations
  • Exam Name: CISI UAE Financial Rules and Regulations Exam
  • Last Updated: Aug 26, 2026
  • Q & A: 188 Questions and Answers
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  • PDF Price: $59.99    

CISI UAE-Financial-Rules-and-Regulations Exam Braindumps - Testing Engine PC Screenshot

  • Exam Code: UAE-Financial-Rules-and-Regulations
  • Exam Name: CISI UAE Financial Rules and Regulations Exam
  • Last Updated: Aug 26, 2026
  • Q & A: 188 Questions and Answers
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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:

SectionObjectives
Topic 1: Financial Conduct and Compliance- Conduct of business standards
  • 1. Client suitability and disclosure obligations
    • 2. Fair dealing and market integrity principles
      - Compliance and supervision
      • 1. Compliance monitoring frameworks
        • 2. Internal controls and governance
          Topic 2: Regulatory Ethics and Professional Standards- Regulatory accountability
          • 1. Regulatory reporting obligations
            • 2. Responsibilities of financial professionals
              - Ethical standards in financial services
              • 1. Conflicts of interest management
                • 2. Professional integrity expectations
                  Topic 3: UAE Financial Regulatory Framework- Federal financial regulation structure
                  • 1. Overview of UAE financial governance bodies
                    • 2. Roles of central financial authorities
                      - Securities and investment regulation
                      • 1. Regulation of securities markets in the UAE
                        • 2. Market conduct and compliance requirements
                          Topic 4: Anti-Money Laundering and Financial Crime- AML/CFT requirements in the UAE
                          • 1. Suspicious transaction reporting
                            • 2. Customer due diligence (CDD) and KYC
                              - Financial crime prevention
                              • 1. Sanctions compliance obligations
                                • 2. Fraud prevention controls

                                  CISI UAE Financial Rules and Regulations Sample Questions:

                                  1. Omar and Rashid are Authority board members and the appointment period for both of them is about to expire. Why can only Omar's appointment be renewed?

                                  A) Omar has served one term whereas Rashid has served two terms
                                  B) Omar holds relevant securities whereas Rashid does not
                                  C) Omar is aged 71 whereas Rashid is aged 76
                                  D) Omar is remunerated for his services whereas Rashid is not


                                  2. A public real estate investment fund must distribute at least what percentage of the achieved net profits every year, to the holders of its units?

                                  A) 100%
                                  B) 80%
                                  C) 75%
                                  D) 50%


                                  3. If an issuer provides its shareholders with bonus shares, then the CSD Department will deposit the bonus shares issued in the account and will register them as a whole, round number. What happens in the case that there are fractions of shares?

                                  A) These are also added to the shareholder's account
                                  B) The issuing company must sell them within 45 days
                                  C) The issuing company must sell them within 30 days
                                  D) They are totalled up and put in a suspense account


                                  4. The Authority will only grant a licence to operate a crypto fundraising platform in the UAE if the applicant is a legal person in the form of:

                                  A) an exchange licensed by the Authority in the UAE
                                  B) a sophisticated trader or a qualified investor
                                  C) a company incorporated under Shariah law
                                  D) an exchange licensed by a market in the UAE


                                  5. The Corporate Governance Guide automatically allows board members of public joint-stock companies to accept gifts up to what maximum stated value?

                                  A) AED 300
                                  B) AED 100
                                  C) AED 500
                                  D) AED 200


                                  Solutions:

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

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