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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Trading | 11% | |
| Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Dubai Financial Market (DFM) | 11% | |
| Markets | 11% | - General background - Disclosure and Transparency |
| The Regulatory Infrastructure | 17% | - Codes of Conduct - Accounting system controls (Decision No. 13/Chairman issued 2021) - Corporate Governance (Law No. 3 issued Jan 2020) - License categories and requirements (Decision No. 13/Chairman issued 2021) - SCA Resolutions - Federal Law No. 4 of 2000 - Securities & Commodities Authority (SCA) |
| Client Protection | 10% | |
| Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Licensed Bodies | 14% | - Licensing financial activities - Requirements of capital market institutions - General provisions |
CISI UAE Financial Rules and Regulations Sample Questions:
If in-kind shares are provided when the fund is founded; if the subscription fails and there is no special agreement, who would bear the expenses?
- A. Evaluators
- B. Share providers
- C. Auditors
- D. Founders
Correct Answer: D 🗳️
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Where self-fund founders intend to accept in-kind shares, the fund prospectus must state whether these shares:
- A. will be held as capital assets of the fund
- B. are to be valued subjectively
- C. are consistent with the fund's investment strategy
- D. may subsequently be disposed of
Correct Answer: C 🗳️
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What does the Authority usually do before deciding to delist a company's shares?
- A. Issue an improvement notice of 30 days
- B. Consult with the relevant firm
- C. Issue a fine for payment within 30 days
- D. Consult with the relevant market
Correct Answer: A 🗳️
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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%
Correct Answer: D 🗳️
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Anyone who notifies or warns a person in relation to suspicions, or reveals any transaction under review in relation to suspicions, is guilty of:
- A. layering
- B. collusion
- C. money laundering
- D. tipping off
Correct Answer: D 🗳️
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