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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Market Conduct Legislation and Regulation | 28% | - Insider dealing and market abuse - Financial crime, AML and CFT regulations - Disclosure and transparency obligations |
| Topic 2: Client Protection | 20% | - Client assets and money protection - Communications, reporting and complaints handling - Client identification and classification |
| Topic 3: Trading | 20% | - Market integrity and surveillance - Reporting and compliance requirements - Trading rules and mechanisms |
| Topic 4: Markets | 10% | - UAE exchanges: DFM, ADX, NASDAQ Dubai - Trading and settlement rules - Listing and admission requirements |
| Topic 5: The Regulatory Infrastructure | 10% | - Roles and powers of regulators - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Legislative framework and regulatory objectives |
| Topic 6: Authorised Persons | 6% | - Obligations of authorized firms and individuals - Conduct of business rules - Licensing and authorization requirements |
| Topic 7: Associated Market and Securities Legislation and Practice | 6% | - Legal obligations of market participants - Market operation rules - Securities laws and regulations |
CISI UAE Financial Rules and Regulations Sample Questions:
1. What is the standard contract size for Dubai India Quanto Crude Oil Futures traded on the Dubai Gold & Commodities Exchange?
A) 100 barrels
B) 3 barrels
C) 30 barrels
D) 1,000 barrels
2. Where the fund prospectus for an investment fund discloses the provision of in-kind shares, it must also state the:
A) Possibility of subsequent fluctuations in their value
B) Alternative assets that were considered
C) Reason why an evaluation report was not required
D) Specific legislation under which this is permitted
3. Which of the following does the Authority require licensed bodies to do in respect of close ties with other firms?
A) Ensure that any close ties are limited to other capital-market firms which are also under the Authority's supervision and control
B) Ensure that any close ties are limited to branches of the firm which also practise financial activity, after obtaining the Authority's approval
C) Seek prior approval from the Authority for any close ties and make sure that these ties will not impede the Authority's supervision and control
D) Notify the Authority of any close ties and make sure that these ties will not impede the Authority's supervision and control
4. A real estate investment fund may borrow no more than what percentage of its total assets value?
A) 10%
B) 25%
C) 50%
D) 75%
5. To qualify as a big block deal on the ADX's E-Trading system, the securities to be traded must be a minimum of what proportion of the issuer's capital?
A) 2.5%
B) 2.0%
C) 0.5%
D) 1.0%
Solutions:
| Question # 1 Answer: B | Question # 2 Answer: A | Question # 3 Answer: D | Question # 4 Answer: C | Question # 5 Answer: D |
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