CISI UAE-Financial-Rules-and-Regulations dumps - in .pdf

UAE-Financial-Rules-and-Regulations pdf
  • Exam Code: UAE-Financial-Rules-and-Regulations
  • Exam Name: CISI UAE Financial Rules and Regulations Exam
  • Updated: Oct 04, 2026
  • Q & A: 188 Questions and Answers
  • PDF Price: $59.99
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  • Exam Code: UAE-Financial-Rules-and-Regulations
  • Exam Name: CISI UAE Financial Rules and Regulations Exam
  • Updated: Oct 04, 2026
  • Q & A: 188 Questions and Answers
  • PDF Version + PC Test Engine + Online Test Engine
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UAE-Financial-Rules-and-Regulations Testing Engine
  • Exam Code: UAE-Financial-Rules-and-Regulations
  • Exam Name: CISI UAE Financial Rules and Regulations Exam
  • Updated: Oct 04, 2026
  • Q & A: 188 Questions and Answers
  • Software Price: $59.99
  • Testing Engine

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

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

CISI UAE Financial Rules and Regulations Sample Questions:

Question #1

When a firm performs internal reconciliations of the financial instruments held for each client, what must it do if the reconciliation shows a discrepancy?

  • A. Rectify the situation within 7 days from the date that the reconciliation is performed
  • B. Make good any shortfall for which it is responsible
  • C. Inform the regulator within 30 days
  • D. Close the client's account by close of business on the same day
Reveal Solution  Discussion  0

Correct Answer: B  🗳️

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Question #2

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

  • A. Risk management
  • B. Promotion
  • C. Analysis
  • D. Corporate planning
Reveal Solution  Discussion  0

Correct Answer: A  🗳️

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Question #3

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. Three years
  • B. Seven years
  • C. Five years
  • D. Ten years
Reveal Solution  Discussion  0

Correct Answer: C  🗳️

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Question #4

What action will the CSD Department take shortly after uploading a shareholders' register onto the ADX's electronic systems?

  • A. Place a back-up copy off-site for disaster-recovery purposes
  • B. Notify the Authority that this process has been completed
  • C. Send a copy of the e-register to the issuer for reconciliation purposes
  • D. Issue e-registration slips to all the shareholders
Reveal Solution  Discussion  0

Correct Answer: C  🗳️

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Question #5

In cases where securities are bought and sold during the same trading session, the client must have in its cash account enough:

  • A. securities to the value of purchase
  • B. credit to cover the value of sale
  • C. credit to cover the value of purchase
  • D. credit to cover the value of any losses
Reveal Solution  Discussion  0

Correct Answer: C  🗳️

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