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| Section | Weight | Objectives |
|---|---|---|
| The Regulatory Infrastructure | 10% | - Legislative framework and regulatory objectives - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Roles and powers of regulators |
| Markets | 10% | - Listing and admission requirements - UAE exchanges: DFM, ADX, NASDAQ Dubai - Trading and settlement rules |
| Associated Market and Securities Legislation and Practice | 6% | - Securities laws and regulations - Market operation rules - Legal obligations of market participants |
| Market Conduct Legislation and Regulation | 28% | - Insider dealing and market abuse - Financial crime, AML and CFT regulations - Disclosure and transparency obligations |
| Authorised Persons | 6% | - Obligations of authorized firms and individuals - Licensing and authorization requirements - Conduct of business rules |
| Client Protection | 20% | - Client identification and classification - Client assets and money protection - Communications, reporting and complaints handling |
| Trading | 20% | - Market integrity and surveillance - Trading rules and mechanisms - Reporting and compliance requirements |
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The UAE-Financial-Rules-and-Regulations exam questions are the ideal and recommended study material for quick and easiest CISI UAE Financial Rules and Regulations Exam (UAE-Financial-Rules-and-Regulations) exam dumps preparation. The CISI UAE Financial Rules and Regulations Exam (UAE-Financial-Rules-and-Regulations) practice questions are designed and verified by qualified and renowned CISI Certification Exams trainers. They work closely and check all CISI UAE-Financial-Rules-and-Regulations Exam Dumps step by step. They also ensure the best possible answer for all UAE-Financial-Rules-and-Regulations exam questions and strive hard to maintain the top standard of CISI UAE Financial Rules and Regulations Exam (UAE-Financial-Rules-and-Regulations) exam dumps all the time.
NEW QUESTION # 20
When applying for an Authority licence to operate a crypto fundraising platform, the need to demonstrate the independence of its fundraising functions is required only if the operator:
Answer: B
Explanation:
The CISI UAE Financial Rules and Regulations specifically addresses the situation in which an operator of a crypto fundraising platform intends to conduct additional financial services activities. When this occurs, those other activities must be identified in the operator's licence application, together with details of the systems and controls established to preserve the independence of the fundraising function. The purpose is to prevent other regulated activities from interfering with fundraising obligations, governance arrangements, investor safeguards, and regulatory compliance. Therefore, the additional independence requirement is triggered by conducting financial services activities other than fundraising. Merely proposing to issue security tokens, being owned by another financial institution, or owning crypto assets does not constitute the stated trigger.
The CISI material also distinguishes platform operation from custody: a fundraising platform cannot hold crypto assets or money, or perform activities requiring a crypto-asset custodian licence, without obtaining the appropriate separate authorisation. Accordingly, option A precisely reflects the licensing condition described in the CISI syllabus.
NEW QUESTION # 21
If a financial institution breaches the regulations relating to terrorist financing, what is the maximum administrative penalty that can be imposed for each violation?
Answer: C
Explanation:
The CISI UAE Financial Rules and Regulations sets out a range of administrative sanctions that may be imposed on financial institutions and designated non-financial businesses and professions that violate the AML/CFT legislation. These sanctions include warnings, restrictions on individuals working within the relevant sector, limitations on the powers of directors or senior management, and financial penalties. For each violation concerning money laundering or terrorist financing requirements, the administrative financial penalty may range from AED 50,000 up to AED 5,000,000 . The amount imposed will depend on the nature and seriousness of the breach and the supervisory authority's assessment of the circumstances. This administrative sanction must be distinguished from criminal penalties that may apply where a person actually commits terrorist financing or money laundering. The question asks specifically for the maximum administrative penalty per violation , not a criminal fine. Therefore, AED 1 million, AED 2 million and AED 3 million are all below the prescribed maximum. The correct answer is AED 5 million.
NEW QUESTION # 22
Which of the following is the criminal penalty for any person who uses proceeds for the financing of terrorism?
Answer: A
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 # 23
Where a client is a legal person, the customer due diligence obligations require verification of identity for any natural persons holding what minimum controlling ownership interest?
Answer: B
Explanation:
According to CISI UAE Financial Rules and Regulations, when the client is a legal person, customer due diligence (CDD) requires verification of identity for any natural person holding a minimum controlling ownership interest of 25%. This threshold identifies beneficial owners who have significant influence or control over the legal entity. Verifying these individuals is critical for AML/CTF compliance to prevent misuse of corporate vehicles for illicit purposes. The 25% figure aligns with international standards such as FATF recommendations and ensures that regulatory scrutiny extends beyond the legal entity to its key controllers.
Reference: CISI UAE Financial Rules and Regulations - Client Due Diligence, Beneficial Ownership Verification, Section 8.1.4 (2023).
NEW QUESTION # 24
Why would a transaction in securities listed on the market be declared null and void?
Answer: C
Explanation:
The Central Depository performs a fundamental legal and operational function by maintaining the official register of transactions in securities listed on UAE markets. Under the CISI UAE Financial Rules and Regulations, the Depository Centre must keep a register of all transactions involving securities listed on the market. The rule expressly states that any transaction in listed securities that is not registered is deemed null and void . Registration provides the official record needed to establish securities ownership, complete settlement, maintain investor accounts and support rights arising from ownership. A transaction that bypasses this prescribed recording process therefore lacks the regulatory recognition required for a valid market transaction. The other answer choices concern different regulatory obligations or potential misconduct but do not constitute the specific statutory ground for treating the securities transaction itself as null and void. A board member's misconduct, reporting failures or deficiencies in daily monitoring may lead to separate enforcement or governance consequences. The direct trigger tested here is failure to record the transaction according to applicable regulatory provisions. Therefore, option A is correct.
NEW QUESTION # 25
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