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

Section	Weight	Objectives
Topic 1: Associated Market and Securities Legislation and Practice	6%	- Legal obligations of market participants - Market operation rules - Securities laws and regulations
Topic 2: Markets	10%	- Listing and admission requirements - UAE exchanges: DFM, ADX, NASDAQ Dubai - Trading and settlement rules
Topic 3: Trading	20%	- Reporting and compliance requirements - Market integrity and surveillance - Trading rules and mechanisms
Topic 4: Authorised Persons	6%	- Licensing and authorization requirements - Conduct of business rules - Obligations of authorized firms and individuals
Topic 5: Client Protection	20%	- Communications, reporting and complaints handling - Client assets and money protection - Client identification and classification
Topic 6: The Regulatory Infrastructure	10%	- Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Roles and powers of regulators - Legislative framework and regulatory objectives
Topic 7: Market Conduct Legislation and Regulation	28%	- Financial crime, AML and CFT regulations - Disclosure and transparency obligations - Insider dealing and market abuse

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UAE-Financial-Rules-and-Regulations Training Kit - Exam UAE-Financial-Rules-and-Regulations Reviews

The CISI UAE Financial Rules and Regulations Exam (UAE-Financial-Rules-and-Regulations) practice questions (desktop and web-based) are customizable, meaning users can set the questions and time according to their needs to improve their discipline and feel the real-based exam scenario to pass the CISI UAE-Financial-Rules-and-Regulations Certification. Customizable mock tests comprehensively and accurately represent the actual UAE-Financial-Rules-and-Regulations certification exam scenario.

CISI UAE Financial Rules and Regulations Exam Sample Questions (Q170-Q175):

NEW QUESTION # 170
The effectiveness of a financial institution's internal policies, controls and procedures to combat money laundering must be tested by:

A. the audit committee
B. regular operational resilience exercises
C. external consultants
D. an independent audit function

Answer: D

Explanation:
Under the UAE Anti-Money Laundering (AML) laws and regulations, financial institutions are required to periodically test the effectiveness of their internal policies, controls, and procedures designed to combat money laundering. The independent audit function is specifically responsible for testing and evaluating these AML frameworks. The independent auditor must assess whether the institution's systems and procedures effectively detect, prevent, and report suspicious transactions and activities. This audit ensures that the policies are up-to-date, comprehensive, and compliant with both local and international standards. Regular audits provide an additional layer of scrutiny, ensuring that financial institutions can demonstrate their commitment to preventing money laundering and terrorist financing.
Reference: CISI UAE Financial Rules and Regulations - AML Testing and Audits, Section 9.5.2 (2023).

NEW QUESTION # 171
During a trading session, if an order is not fully executed, then:

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

Answer: A

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 # 172
What additional provision is made by the market in relation to trading in shares of public joint-stock companies that are in the second category of listing?

A. They can be bought and sold only by qualified investors
B. Deals are subject to an additional transaction levy
C. They will appear on a separate dedicated screen
D. Deals can take place only on specified dates

Answer: C

Explanation:
The CISI UAE Financial Rules and Regulations explains that public joint-stock companies transferred to the second category of listing are subject to a distinct market-display mechanism. Companies may enter the second category where, for example, their shares have been suspended for six months or more or they satisfy prescribed accumulated-loss criteria. To distinguish these securities clearly from first-category companies and provide investors with additional transparency regarding their status, the market displays companies in the second category on a separate dedicated screen . Companies on the relevant watch list are also monitored for compliance with listing and disclosure requirements and must take measures to regularise their position.
The second-category regime does not restrict trading solely to qualified investors, impose a special transaction levy merely because of classification, or confine trading to particular specified calendar dates. The additional provision specifically tested is the separate screen through which second-category securities are identified and traded. Therefore, option A is correct.

NEW QUESTION # 173
Why would the Authority board resolve temporarily to halt trading in the shares of any company?

A. A written complaint is made relating to a market activity
B. It transpires that the spouse of a board member is a director of that entity
C. It does not have the technical equipment necessary to conduct its activity electronically
D. A threat to the proper and regular working of that market arises

Answer: D

Explanation:
The Authority board may decide to temporarily halt trading in the shares of a company if a threat to the proper and regular working of that market arises. This action is taken to ensure the integrity of the market and protect investors from any disruption caused by irregularities or unexpected events. Such threats could include issues like system failures, significant market manipulation, or events that might cause unfair trading conditions.
Halting trading is a precautionary measure that aims to stabilize the market, allowing time for the issue to be resolved before trading resumes.
Reference: CISI UAE Financial Rules and Regulations - Trading Halts and Market Integrity, Section 3.4.2 (2023).

NEW QUESTION # 174
When promoting private funds, related materials must:

A. receive prior approval of the content from the Authority
B. refrain from using public advertisement media of certain types, including audio and video, with the exception of read media
C. clarify the private fund's specific nature and include the required disclaimer laid down by the Authority
D. advise that the funds cannot be transferred to a third party

Answer: C

Explanation:
Promotional materials for private funds in the UAE must clearly clarify the fund's specific nature and include the required disclaimer as prescribed by the Authority. This requirement ensures that potential investors receive accurate and compliant information about the private fund's characteristics, risks, and restrictions. The disclaimer serves to limit investor expectations and legal liabilities. While certain media restrictions and content approvals may apply in some jurisdictions, the key regulatory focus is on transparency and proper disclosure within promotional materials to protect investor interests.
Reference: CISI UAE Financial Rules and Regulations - Investment Funds Promotion and Disclosure Requirements, Section 6.3.9 (2023).

NEW QUESTION # 175
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