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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Markets | 11% | - General background - Disclosure and Transparency |
| Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Dubai Financial Market (DFM) | 11% | |
| Trading | 11% | |
| Licensed Bodies | 14% | - General provisions - Licensing financial activities - Requirements of capital market institutions |
| Client Protection | 10% | |
| The Regulatory Infrastructure | 17% | - Securities & Commodities Authority (SCA) - Accounting system controls (Decision No. 13/Chairman issued 2021) - SCA Resolutions - Corporate Governance (Law No. 3 issued Jan 2020) - License categories and requirements (Decision No. 13/Chairman issued 2021) - Codes of Conduct - Federal Law No. 4 of 2000 |
CISI UAE Financial Rules and Regulations Sample Questions:
1. Anyone who notifies or warns a person in relation to suspicions, or reveals any transaction under review in relation to suspicions, is guilty of:
A) layering
B) collusion
C) tipping off
D) money laundering
2. In what circumstances can the requirement for licensed bodies to disclose their legal status be waived?
A) An emergency has been notified to the Authority
B) A significant market correction is taking place
C) A takeover bid for the licensed body has been launched
D) A court case against the licensed body is in progress
3. A licensed person who conducts financial activities related to security tokens is required to carry out a suitability check only if:
A) the licensed person has less than 3 years' relevant experience
B) the amount being invested exceeds AED 100,000
C) the client is not a qualified investor
D) the token falls into the high risk category
4. If the mid-point is used to determine the theoretical auction price for a pre-closing session of the DFM, it is:
A) rounded up to the nearest price tick
B) rounded down to the nearest price tick
C) rounded to two decimal places
D) rounded to one decimal place
5. Which of the following features of a previous order can be changed with the order remaining valid?
A) Order type
B) Volume
C) Share category
D) Market
Solutions:
| Question # 1 Answer: C | Question # 2 Answer: A | Question # 3 Answer: C | Question # 4 Answer: A | Question # 5 Answer: B |
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