CISI UAE-Financial-Rules-and-Regulations Questions PDF To Unlock Your Career [2026]

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

Section	Weight	Objectives
Topic 1: Trading	11%
Topic 2: Client Protection	10%
Topic 3: Dubai Financial Market (DFM)	11%
Topic 4: Investment Funds	11%	- Provisions specific to certain public funds - The local fund
Topic 5: The Regulatory Infrastructure	17%	- SCA Resolutions - Federal Law No. 4 of 2000 - License categories and requirements (Decision No. 13/Chairman issued 2021) - Corporate Governance (Law No. 3 issued Jan 2020) - Codes of Conduct - Accounting system controls (Decision No. 13/Chairman issued 2021) - Securities & Commodities Authority (SCA)
Topic 6: Markets	11%	- Disclosure and Transparency - General background
Topic 7: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations	14%	- Federal Law No. 20 of 2018
Topic 8: Licensed Bodies	14%	- General provisions - Licensing financial activities - Requirements of capital market institutions

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CISI UAE Financial Rules and Regulations Exam Sample Questions (Q136-Q141):

NEW QUESTION # 136
The last trading day for a West Texas Intermediate (WTI) Light Sweet Oil Futures contract is:

A. Two business days prior to the last business day of the delivery month
B. The second-last business day of the second month preceding the delivery month
C. Four business days prior to the 25th calendar day of the month preceding the delivery month
D. The 15th calendar day of the delivery month

Answer: C

Explanation:
The Dubai Gold & Commodities Exchange (DGCX) contract specification for West Texas Intermediate (WTI) Light Sweet Crude Oil Futures establishes a clearly defined expiry timetable. The last trading day is four business days prior to the 25th calendar day of the month preceding the expiry or delivery month .
For example, if the futures contract relates to March, its last trading day falls on the fourth business day before 25 February. This convention allows sufficient time between the termination of trading and final cash- settlement procedures. The DGCX specification applies the same last-trading-day structure to its standard WTI contract and the Mini WTI product, although their contract sizes and tick values differ. Option A incorrectly relates expiry to the final business day of the delivery month, while option B has no basis in the WTI specification. Option D resembles expiry conventions associated with other commodity contracts and is not the applicable WTI rule. Consequently, the contract specification confirms that option C is correct.

NEW QUESTION # 137
Which of the following does the Authority require licensed bodies to do in respect of close ties with other firms?

A. Seek prior approval from the Authority for any close ties and make sure that these ties will not impede the Authority's supervision and control
B. Notify the Authority of any close ties and make sure that these ties will not impede the Authority's supervision and control
C. Ensure that any close ties are limited to other capital-market firms which are also under the Authority's supervision and control
D. Ensure that any close ties are limited to branches of the firm which also practise financial activity, after obtaining the Authority's approval

Answer: B

Explanation:
The Authority requires licensed bodies to ensure that ownership, management or other close relationships with third parties do not interfere with effective regulatory supervision. Under the CISI UAE Financial Rules and Regulations, a licensed body must notify the Authority of any close ties and ensure that those ties will not impede the Authority's supervision and control. The person or entity with whom the close relationship exists must also satisfy applicable efficiency and appropriateness standards, and the licensed body must be prepared to supply documentation and information concerning the relationship whenever requested. If the Authority concludes that a close tie is inconsistent with licensing requirements or may obstruct supervision, it may require the relationship to be amended or terminated and may impose appropriate sanctions for non- compliance. The rule does not state that every close tie requires prior approval, nor does it restrict close ties exclusively to capital-market firms or branches of the same organisation. The operative obligation is notification combined with preservation of effective regulatory oversight. Therefore, option A is correct.

NEW QUESTION # 138
Membership of an Authority regulated market is obligatory for which of the following entities?

A. Licensed brokers
B. Listed joint-stock companies, licensed brokers and any other type of business entity
C. Listed joint-stock companies, licensed brokers and other listed entities
D. Listed joint-stock companies and licensed brokers

Answer: C

Explanation:
Under the UAE regulatory framework, membership of an Authority-regulated market is obligatory for listed joint-stock companies, licensed brokers, and other listed entities. This requirement ensures that all entities involved in public trading or listed on the market adhere to the regulatory standards set by the market's governing body. It provides a structured environment for trading and market oversight, promoting transparency and fairness. The inclusion of licensed brokers and other listed entities ensures that all market participants are subject to the same rules, helping to maintain integrity and stability in the market.
Reference: CISI UAE Financial Rules and Regulations - Market Membership Requirements, Section 3.1.4 (2023).

NEW QUESTION # 139
Why would the Authority board resolve temporarily to halt trading in the shares of any company?

A. It transpires that the spouse of a board member is a director of that entity
B. A written complaint is made relating to a market activity
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 # 140
In order to deal in securities, what minimum level of paid-up capital must a firm have?

A. AED 50 million
B. AED 10 million
C. AED 20 million
D. AED 30 million

Answer: D

Explanation:
Dealing in Securities is the first of the five financial-activity licence categories established under the SCA framework covered by the CISI UAE Financial Rules and Regulations. A firm applying for this category must generally be a legal person incorporated within the UAE or a branch of a foreign company and must maintain paid-up capital of not less than AED 30 million . The principal functions expected in a Category 1 firm include the Category Manager or Official, Compliance Officer and Risk Management Officer. Financial activities falling within the category include trading and clearing brokerage, trading brokerage in global markets, brokerage of specified non-exchange-traded derivative contracts and spot currencies, trading brokerage and securities dealing. The AED 50 million figure relates to higher capital requirements associated with other categories, including Dealing in Investment and Keeping, Clearing and Registration. AED 10 million and AED 20 million do not represent the prescribed Category 1 minimum. Therefore, for a firm licensed to deal in securities, the minimum paid-up capital required by the CISI material is AED 30 million and option C is correct.

NEW QUESTION # 141
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