Exam Name: CISI UAE Financial Rules and Regulations Exam
Certification Provider: CISI
Corresponding Certification: Investment Operations Certificate (IOC)
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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Market Conduct Legislation and Regulation | 28% | - Disclosure and transparency obligations - Insider dealing and market abuse - Financial crime, AML and CFT regulations |
| Topic 2: The Regulatory Infrastructure | 10% | - Roles and powers of regulators - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Legislative framework and regulatory objectives |
| Topic 3: Markets | 10% | - UAE exchanges: DFM, ADX, NASDAQ Dubai - Listing and admission requirements - Trading and settlement rules |
| Topic 4: Client Protection | 20% | - Client identification and classification - Communications, reporting and complaints handling - Client assets and money protection |
| Topic 5: Associated Market and Securities Legislation and Practice | 6% | - Market operation rules - Securities laws and regulations - Legal obligations of market participants |
| Topic 6: Authorised Persons | 6% | - Obligations of authorized firms and individuals - Conduct of business rules - Licensing and authorization requirements |
| Topic 7: Trading | 20% | - Trading rules and mechanisms - Market integrity and surveillance - Reporting and compliance requirements |
CISI UAE Financial Rules and Regulations Sample Questions:
In cases where securities are bought and sold during the same trading session, the client must have in its cash account enough:
- A. credit to cover the value of sale
- B. credit to cover the value of any losses
- C. credit to cover the value of purchase
- D. securities to the value of purchase
Correct Answer: C 🗳️
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A failure to report suspicions, or gross negligence in implementing processes and procedures in relation to suspicions of money laundering, can result in a fine of:
- A. no less than AED 100,000 and no more than AED 5,000,000
- B. no less than AED 1,000,000 and no more than AED 10,000,000
- C. no less than AED 100,000 and no more than AED 1,000,000
- D. no less than AED 50,000 and no more than AED 1,000,000
Correct Answer: A 🗳️
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Which of the following acts is considered to constitute the crime of money laundering?
- A. Investigating or checking on the true nature, source or location of proceeds as well as the method involving their ownership
- B. Acquiring, possessing or using proceeds from an unverified source
- C. Investigating internal reports where concerns of illegal activities are raised by staff
- D. Transferring or moving proceeds or conducting any transaction with the aim of highlighting or opening their source to scrutiny
Correct Answer: B 🗳️
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There is a regulatory obligation placed on the evaluator of an investment fund's in-kind shares to indicate whether the shares:
- A. Represent short- or long-term assets
- B. Can be liquidated or not
- C. Were acquired at a discount or not
- D. Are capital-growth or income-orientated
Correct Answer: B 🗳️
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Which type of securities are subject to exchange crime prohibitions?
- A. Company shares, bonds and derivatives
- B. All tradeable financial instruments including crypto-assets
- C. All tradeable financial instruments except crypto-assets
- D. Company shares and bonds only
Correct Answer: B 🗳️
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