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Updated: Aug 30, 2026
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CISI UAE-Financial-Rules-and-Regulations Exam Overview:
| Certification Vendor: | CISI (Chartered Institute for Securities & Investment) |
|---|---|
| Exam Name: | UAE Financial Rules and Regulations |
| Exam Number: | UAE-Financial-Rules-and-Regulations |
| Available Languages: | English |
| Related Certifications: | CISI Capital Markets Programme CISI Investment Operations Certificate |
| Exam Duration: | 60 minutes |
| Passing Score: | 70% |
| Exam Price: | £150 - £190 GBP / $190 - $240 USD |
| Certificate Validity Period: | Valid for 3 years |
| Real Exam Qty: | 50 |
| Exam Format: | Multiple Choice Questions, Scenario-based questions, Computer-Based Testing |
| Recommended Training: | CISI Official Study Text CISI E-learning |
| Exam Registration: | CISI Official Registration Pearson VUE Test Centres |
| Sample Questions: | CISI UAE-Financial-Rules-and-Regulations Sample Questions |
| Exam Way: | Computer-based at Pearson VUE test centres or remote online proctored |
| Pre Condition: | No mandatory prerequisites; recommended for finance professionals working in UAE regulated environment |
| Official Syllabus URL: | https://www.cisi.org/qualifications/uae-financial-rules-and-regulations |
CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| The Regulatory Infrastructure | 10% | - Roles and powers of regulators - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Legislative framework and regulatory objectives |
| Associated Market and Securities Legislation and Practice | 6% | - Securities laws and regulations - Legal obligations of market participants - Market operation rules |
| Trading | 20% | - Market integrity and surveillance - Trading rules and mechanisms - Reporting and compliance requirements |
| Client Protection | 20% | - Client assets and money protection - Client identification and classification - Communications, reporting and complaints handling |
| Market Conduct Legislation and Regulation | 28% | - Disclosure and transparency obligations - Financial crime, AML and CFT regulations - Insider dealing and market abuse |
| Authorised Persons | 6% | - Conduct of business rules - Obligations of authorized firms and individuals - Licensing and authorization requirements |
| Markets | 10% | - Trading and settlement rules - Listing and admission requirements - UAE exchanges: DFM, ADX, NASDAQ Dubai |
CISI UAE Financial Rules and Regulations Sample Questions:
Question 1
Within what maximum period following approval of the listing of a security must the Depository Centre install a terminal device giving the listing entity access to the register?
A. 15 days
B. 3 weeks
C. 3 days
D. 1 week
Question 2
A vote carried out by the board of the Authority resulted in a tie. What happens in these circumstances?
A. The decision is postponed until another vote can be taken
B. The vote for the resolution is automatically carried
C. The vote against the resolution is automatically carried
D. The chairman or their deputy is granted the casting vote
Question 3
A Special Purpose Acquisition Company deposited 95% of its public subscription proceeds into an escrow account. It is permitted to use this money to:
A. Fund the issue of additional shares
B. Finance an internal restructuring programme
C. Meet recovery requests by the investors
D. Hedge against adverse market movements
Question 4
When updating their money laundering compliance framework, firms involved in crypto assets are required to take into account the recommendations of which body?
A. United Nations Office on Drugs and Crime
B. Financial Action Task Force
C. Bank for International Settlements
D. World Bank
Question 5
If a listed company faces accumulated losses of 50% or more of capital, what is required to happen?
A. It is required to be audited more frequently
B. Its shares are suspended for at least six months
C. It is moved from a second category listing to a first category of listing
D. It is moved from a first category listing to a second category of listing
Solutions:
| Question 1 Answer: D | Question 2 Answer: D | Question 3 Answer: C | Question 4 Answer: B | Question 5 Answer: D |
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