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

Section	Weight	Objectives
Licensed Bodies	14%	- General provisions - Requirements of capital market institutions - Licensing financial activities
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) - Codes of Conduct - License categories and requirements (Decision No. 13/Chairman issued 2021) - Securities & Commodities Authority (SCA)
Client Protection	10%
Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations	14%	- Federal Law No. 20 of 2018
Trading	11%
Investment Funds	11%	- Provisions specific to certain public funds - The local fund
Dubai Financial Market (DFM)	11%
Markets	11%	- General background - Disclosure and Transparency

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CISI UAE Financial Rules and Regulations Exam Sample Questions (Q183-Q188):

NEW QUESTION # 183
A key reason why the regulator applies financial promotion rules is to ensure that:

A. the customers are treated fairly
B. the available product range is maximised
C. the impact of operational risk is avoided
D. the market is kept competitive

Answer: A

NEW QUESTION # 184
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 # 185
Within what period after the date of closing subscriptions must the fund manager and the founders of a self- managed fund submit a certificate of completion from the auditor?

A. 5 days
B. 15 days
C. 10 days
D. 30 days

Answer: D

Explanation:
Final approval of a local investment fund depends upon completion of prescribed post-subscription procedures. According to the CISI UAE Financial Rules and Regulations, the fund manager-and, in the case of a self-managed fund, its founders-must submit specified documentation to the Authority within no more than 30 days from the date on which subscriptions close . One of the principal documents is a certificate from the local fund's auditor confirming that subscription to the fund's capital has been completed. For a family fund, additional evidence may also be required to establish that subscribers satisfy the relevant family and beneficial-ownership requirements. Failure to submit the required documents within the prescribed period can cause the establishment procedures to be treated as non-existent and require subscribed amounts to be returned. Once the required auditor's certificate and supporting documentation have been properly submitted, the Authority proceeds with the establishment and licensing process. The relevant deadline is therefore 30 days, not five, ten or fifteen days. Accordingly, option D is correct.

NEW QUESTION # 186
Where a manager employed by a legal person is found to have committed a money laundering crime for its account, the minimum fine that can be imposed is:

A. A fixed amount of AED 500,000
B. 2% of annual turnover
C. 1% of annual turnover
D. A fixed amount of AED 250,000

Answer: A

Explanation:
The UAE AML framework distinguishes between criminal penalties imposed on natural persons and financial liability imposed on legal persons. Under the CISI UAE Financial Rules and Regulations treatment of Federal Law No. 20 of 2018, where representatives, managers or agents of a legal person commit money laundering, financing of terrorism or financing of illegal organisations for the legal person's account or in its name, the legal person may be fined. The prescribed fine is not less than AED 500,000 and not more than AED 50 million . The question asks only for the minimum amount, which is therefore AED 500,000. The liability is expressed as a statutory monetary range, not as 1% or 2% of annual turnover. AED 250,000 is also below the minimum prescribed for the legal person in this circumstance. Separate penalties can apply directly to the natural person who actually committed the underlying offence, but that does not change the minimum fine applicable to the legal entity itself. Accordingly, option D is correct.

NEW QUESTION # 187
A joint-stock company applying for a licence to conduct clearing activities in a commodity market recently appointed a new chairman and a new CEO. Why did this lead to the application being refused?

A. They were supported by just three other board members
B. Only the chairman held a tranche of the company's shares
C. They had been employed by the company during the previous year
D. Only the CEO's compensation had been approved by the Authority

Answer: C

Explanation:
According to CISI UAE Financial Rules and Regulations, applications for licences to conduct clearing activities require that key senior officers such as the chairman and CEO meet certain tenure and independence criteria. The application was refused because both the newly appointed chairman and CEO had been employed by the company during the previous year, which raises concerns about independence and potential conflicts of interest. Regulators require sufficient separation and stability in leadership to ensure effective governance and risk management in critical market infrastructure roles like clearing. The recent employment history suggested insufficient cooling-off periods or independence safeguards.
Reference: CISI UAE Financial Rules and Regulations - Licensing Requirements for Clearing Firms, Section 7.1.3 (2023).

NEW QUESTION # 188
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