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

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

CISI UAE Financial Rules and Regulations Sample Questions:

1. The minimum price movement for an MSCI India Index Futures (INR) contract is:

A) US$0.01
B) 0.5 index points
C) US$1.00
D) 0.25 index points


2. The minimum price movement for a West Texas Intermediate (WTI) Light Sweet Oil Futures contract is:

A) USS 100 per barrel
B) LISS 0.01 per barrel
C) USS 1 per barrel
D) USS 25 per barrel


3. If the two evaluators for an in-kind share transfer produce different fair value figures, what figure must be used?

A) The highest one
B) The lowest one
C) The one produced by the most experienced evaluator
D) The average of the two amounts


4. The Depository Centre must periodically report to the Authority on shareholders who hold more than what threshold percentage of equity in the Centre's capital?

A) 3%
B) 15%
C) 5%
D) 10%


5. The role of the safe custodian in relation to exchange-traded funds (ETFs) is to:

A) Implement the investment policy
B) Update sell and buy orders
C) Ensure that the transfer of ownership of units is completed
D) Announce the net value of the unit's assets on a daily basis


Solutions:

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

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