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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Client Protection | 20% | - Client assets and money protection - Communications, reporting and complaints handling - Client identification and classification |
| Markets | 10% | - Listing and admission requirements - UAE exchanges: DFM, ADX, NASDAQ Dubai - Trading and settlement rules |
| Trading | 20% | - Trading rules and mechanisms - Reporting and compliance requirements - Market integrity and surveillance |
| Associated Market and Securities Legislation and Practice | 6% | - Securities laws and regulations - Legal obligations of market participants - Market operation rules |
| Authorised Persons | 6% | - Obligations of authorized firms and individuals - Licensing and authorization requirements - Conduct of business rules |
| The Regulatory Infrastructure | 10% | - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Roles and powers of regulators - Legislative framework and regulatory objectives |
| Market Conduct Legislation and Regulation | 28% | - Disclosure and transparency obligations - Financial crime, AML and CFT regulations - Insider dealing and market abuse |
CISI UAE Financial Rules and Regulations Sample Questions:
Question #1
If an issuer provides its shareholders with bonus shares, then the CSD Department will deposit the bonus shares issued in the account and will register them as a whole, round number. What happens in the case that there are fractions of shares?
A. They are totalled up and put in a suspense account
B. The issuing company must sell them within 30 days
C. These are also added to the shareholder's account
D. The issuing company must sell them within 45 days
Question #2
The last trading day for an India Gold Quanto Futures contract is:
A. four business days prior to the 25th calendar day of the delivery month
B. the 25th calendar day of the delivery month
C. one business day prior to the last business day of the delivery month
D. two business days prior to the last business day of the delivery month
Question #3
Which of the following is one of the prescribed financial activities for which the Authority can issue a license?
A. Analysis
B. Corporate planning
C. Risk management
D. Promotion
Question #4
When licence applicants submit behaviour regulations including a professional code of ethics, this falls under the category of:
A. administration regulation
B. technical system
C. employee regulation
D. governance regulation
Question #5
Under what circumstances, if any, may financial analysts commit to providing favourable research coverage to issuers of securities?
A. Only if the research is provided free or for a nominal charge
B. Not under any circumstances
C. Only if the issuer belongs to the same parent group as the analyst's company
D. Only if the analyst signs a non-disclosure agreement with the issuer
Solutions:
| Question #1 Correct Answer: A | Question #2 Correct Answer: D | Question #3 Correct Answer: C | Question #4 Correct Answer: D | Question #5 Correct Answer: B |
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