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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Associated Market and Securities Legislation and Practice | 6% | - Legal obligations of market participants - Securities laws and regulations - Market operation rules |
| Topic 2: Markets | 10% | - UAE exchanges: DFM, ADX, NASDAQ Dubai - Listing and admission requirements - Trading and settlement rules |
| Topic 3: The Regulatory Infrastructure | 10% | - Roles and powers of regulators - Legislative framework and regulatory objectives - Regulatory bodies: SCA, CBUAE, DFSA, FSRA |
| Topic 4: Client Protection | 20% | - Client assets and money protection - Communications, reporting and complaints handling - Client identification and classification |
| Topic 5: Authorised Persons | 6% | - Licensing and authorization requirements - Conduct of business rules - Obligations of authorized firms and individuals |
| Topic 6: Trading | 20% | - Market integrity and surveillance - Trading rules and mechanisms - Reporting and compliance requirements |
| Topic 7: Market Conduct Legislation and Regulation | 28% | - Insider dealing and market abuse - Financial crime, AML and CFT regulations - Disclosure and transparency obligations |
CISI UAE Financial Rules and Regulations Sample Questions:
1. The contract size for an MSCI India Index Futures (INR) contract is:
A) 50 index points x price
B) 5 index points x price
C) 20 index points x price
D) 25 index points x price
2. Membership of an Authority regulated market is obligatory for which of the following entities?
A) Listed joint-stock companies, licensed brokers and any other type of business entity
B) Licensed brokers
C) Listed joint-stock companies and licensed brokers
D) Listed joint-stock companies, licensed brokers and other listed entities
3. An applicant for a financial activities licence must have procedures in place to recover electronic records from the archive within what maximum period?
A) Five business days
B) Four calendar days
C) Two calendar days
D) Three business days
4. During an investigation, what should a licensed body do if it discovers that any of the submitted documents or information are incorrect, misleading or have been changed?
A) Call an emergency Board meeting and thereafter notify the concerned entity at the Authority
B) Notify the concerned entity at the Authority or any of the capital market institutions within 5 working days
C) Notify the concerned entity at the Authority or any of the capital market institutions immediately
D) The Chair and Board of Directors should notify the Authority and tender their resignations
5. If the two evaluators for an in-kind share transfer produce different fair value figures, what figure must be used?
A) The lowest one
B) The average of the two amounts
C) The highest one
D) The one produced by the most experienced evaluator
Solutions:
| Question # 1 Answer: A | Question # 2 Answer: D | Question # 3 Answer: D | Question # 4 Answer: C | Question # 5 Answer: B |
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