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

Section	Objectives
Topic 1: Financial Conduct and Compliance	- Conduct of business standards 1. Client suitability and disclosure obligations 2. Fair dealing and market integrity principles - Compliance and supervision 1. Compliance monitoring frameworks 2. Internal controls and governance
Topic 2: UAE Financial Regulatory Framework	- Securities and investment regulation 1. Market conduct and compliance requirements 2. Regulation of securities markets in the UAE - Federal financial regulation structure 1. Roles of central financial authorities 2. Overview of UAE financial governance bodies
Topic 3: Regulatory Ethics and Professional Standards	- Ethical standards in financial services 1. Professional integrity expectations 2. Conflicts of interest management - Regulatory accountability 1. Responsibilities of financial professionals 2. Regulatory reporting obligations
Topic 4: Anti-Money Laundering and Financial Crime	- AML/CFT requirements in the UAE 1. Customer due diligence (CDD) and KYC 2. Suspicious transaction reporting - Financial crime prevention 1. Fraud prevention controls 2. Sanctions compliance obligations

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CISI UAE Financial Rules and Regulations Exam Sample Questions (Q14-Q19):

NEW QUESTION # 14
During a trading session, if an order is not fully executed, then:

A. the remaining unexecuted volume is cancelled and a new order is placed, at the last executed price
B. the transaction is executed at the price set on the other side of the transaction
C. the remaining unexecuted volume stays on the trading system, at the last executed price
D. the order will be dealt with at the next trading session

Answer: C

Explanation:
In the Dubai Financial Market (DFM) and other UAE exchanges, if an order is not fully executed during a trading session, the remaining unexecuted volume remains on the trading system at the last executed price, subject to the order's validity instructions (e.g., good-till-cancelled). This approach allows the unfilled portion to remain active in the market for potential matching with future opposing orders, supporting liquidity and order continuity. Orders are not automatically cancelled or deferred to the next session unless specified. This process ensures transparency and orderly execution consistent with regulatory trading rules.
Reference: CISI UAE Financial Rules and Regulations - Trading Order Execution Rules, Section 7.2.8 (2023).

NEW QUESTION # 15
Brokers must pay the value of securities sold on behalf of their clients, after deducting commissions and fees, before:

A. The end of four days or the end of the settlement period set by the DFM
B. The end of one day or the end of the settlement period set by the DFM
C. The end of two days or the end of the settlement period set by the DFM
D. The end of three days or the end of the settlement period set by the DFM

Answer: C

Explanation:
The DFM settlement rules impose a clear obligation on brokerage firms regarding proceeds generated from securities sold for clients. Once a broker has executed a sale, it may deduct the applicable commissions and fees, but it must then pay the remaining sale proceeds to the client before the end of two days or before the end of the settlement period prescribed by the DFM , as applicable. Payment can be made using recognised methods such as an appropriately issued cheque or transfer to the client's account. Where the client does not request immediate receipt of the proceeds, the broker must credit the amount to the client's balance before the end of the settlement period for the securities sold. This requirement protects clients by preventing brokers from retaining sale proceeds beyond the permitted settlement timetable. The one-, three- and four-day alternatives do not reproduce the rule stated in the CISI/DFM material. Consequently, the prescribed period presented in option B-two days or the DFM settlement period-is the correct answer.

NEW QUESTION # 16
Which of the following is the criminal penalty for any person who uses proceeds for the financing of terrorism?

A. Life imprisonment and a penalty of no less than AED 300,000 and no more than AED 1,000,000
B. Life imprisonment or temporary imprisonment of no less than ten years, and a penalty of no less than AED 300,000 and no more than AED 10,000,000
C. Temporary imprisonment of no less than ten years, and a penalty of no less than AED 300,000 and no more than AED 10,000,000
D. Life imprisonment and a penalty of no less than AED 500,000 and no more than AED 10,000,000

Answer: B

Explanation:
Under the Federal Decree-Law No. 20 of 2018 framework covered by the CISI UAE Financial Rules and Regulations syllabus, using proceeds for the financing of terrorism attracts one of the most severe criminal sanctions in the AML/CFT regime. Article 22 provides for life imprisonment or temporary imprisonment for a period of no less than ten years , together with a fine of not less than AED 300,000 and not more than AED 10 million . Option A reproduces both elements correctly. Option B improperly removes life imprisonment as an available sanction. Option C incorrectly raises the minimum financial penalty to AED
500,000 and treats life imprisonment as mandatory. Option D gives an incorrect maximum fine of AED 1 million. This provision should also be distinguished from ordinary money laundering and aggravated money- laundering offences, which have separate sentencing structures. For purposes of the CISI syllabus section expressly based on Federal Law No. 20 of 2018, the complete penalty described in option A is therefore correct.

NEW QUESTION # 17
The Board of a securities market wished to suspend a rule relating to the operations of that market, why was it unable to do so?

A. A 30-day notice was not provided
B. It failed to seek permission from the Authority
C. An Authority penalty was pending
D. The majority of the board was not present

Answer: B

Explanation:
When the Board of a securities market wishes to suspend a rule related to the market's operations, it must first obtain permission from the regulatory Authority. According to the CISI UAE Financial Rules and Regulations, if permission is not sought from the Authority before attempting to suspend the rule, the suspension request will not be valid. This requirement ensures that the Authority has oversight over the market's operational changes and can assess whether suspending the rule aligns with regulatory goals such as market stability, fairness, and transparency. This helps prevent arbitrary or inconsistent rule changes that might undermine investor confidence or disrupt the smooth functioning of the market.
Reference: CISI UAE Financial Rules and Regulations - Market Rule Suspension Procedures, Section 2.4.7 (2023).

NEW QUESTION # 18
The contract size for an India Gold Quanto Futures contract is:

A. 1,000 troy ounces
B. One lot
C. 32 troy ounces
D. 1,000 grammes

Answer: B

Explanation:
The Dubai Gold & Commodities Exchange offers several gold-related futures products, and their contract specifications must be distinguished carefully. According to the CISI UAE Financial Rules and Regulations, the India Gold Quanto Futures contract has a contract size of one lot . Its minimum price movement is US$1.00 per lot, and its last trading day is two business days before the final business day of the delivery month. The other quantities in the answer choices belong to different commodity contracts. A standard Gold Futures contract covered by the CISI material uses 32 troy ounces of refined gold, while Shanghai Gold Futures uses a contract size of 1,000 grammes, or one kilogram. A quantity of 1,000 troy ounces is associated with silver futures rather than the India Gold Quanto product. The question therefore tests recognition of the separate DGCX contract specifications rather than conversion between weight measurements. Since the India Gold Quanto Futures contract is expressly specified as one lot, option B is correct.

NEW QUESTION # 19
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