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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: The Regulatory Infrastructure | 17% | - Federal Law No. 4 of 2000 - Accounting system controls (Decision No. 13/Chairman issued 2021) - SCA Resolutions - Corporate Governance (Law No. 3 issued Jan 2020) - License categories and requirements (Decision No. 13/Chairman issued 2021) - Securities & Commodities Authority (SCA) - Codes of Conduct |
| Topic 2: Client Protection | 10% | |
| Topic 3: Licensed Bodies | 14% | - General provisions - Requirements of capital market institutions - Licensing financial activities |
| Topic 4: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Topic 5: Trading | 11% | |
| Topic 6: Dubai Financial Market (DFM) | 11% | |
| Topic 7: Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Topic 8: Markets | 11% | - General background - Disclosure and Transparency |
CISI UAE Financial Rules and Regulations Sample Questions:
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. 5%
- C. 15%
- D. 10%
Correct Answer: B 🗳️
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The contract size for an MSCI India Index Futures (INR) contract is:
- A. 50 index points x price
- B. 25 index points x price
- C. 20 index points x price
- D. 5 index points x price
Correct Answer: A 🗳️
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The policies of a firm applying for a financial activities licence must include arrangements to provide a copy of its complaints handling procedure to clients:
- A. on request
- B. within 24 hours of accepting the client
- C. within 48 hours of accepting the client
- D. on receipt of a complaint
Correct Answer: A 🗳️
Explanation: Only visible for BootcampPDF members. You can sign-up / login (it's free).
The statement in a suitability report giving reasons for the recommendation must also indicate:
- A. the extent to which the author is qualified to make this judgement
- B. why the next best product or service was disregarded
- C. whether or not the client has accepted this guidance
- D. the client's ability to bear any risks and losses
Correct Answer: D 🗳️
Explanation: Only visible for BootcampPDF members. You can sign-up / login (it's free).
The minimum price movement for an MSCI India Index Futures (INR) contract is:
- A. US$1.00
- B. US$0.01
- C. 0.5 index points
- D. 0.25 index points
Correct Answer: C 🗳️
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