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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Markets | 11% | - General background - Disclosure and Transparency |
| Licensed Bodies | 14% | - General provisions - Licensing financial activities - Requirements of capital market institutions |
| 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 |
| 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 |
| Client Protection | 10% | |
| Trading | 11% | |
| Dubai Financial Market (DFM) | 11% |
CISI UAE Financial Rules and Regulations Sample Questions:
The role of the authorised agent of the exchange-traded fund (ETF) is to:
- A. announce the net value of the unit's assets on a daily basis
- B. update sell and buy orders
- C. regularly announce the indicative value of the net value of assets
- D. ensure that the transfer of ownership of units is completed
Correct Answer: C 🗳️
Explanation: Only visible for PracticeVCE members. You can sign-up / login (it's free).
The last trading day for a West Texas Intermediate (WTI) Light Sweet Oil Futures contract is:
- A. Four business days prior to the 25th calendar day of the month preceding the delivery month
- B. The 15th calendar day of the delivery month
- C. The second-last business day of the second month preceding the delivery month
- D. Two business days prior to the last business day of the delivery month
Correct Answer: A 🗳️
Explanation: Only visible for PracticeVCE members. You can sign-up / login (it's free).
On the Dubai Gold & Commodities Exchange, how many delivery months are available for trading in Dubai India Quanto Crude Oil futures?
- A. 18
- B. 2
- C. 12
- D. 6
Correct Answer: C 🗳️
Explanation: Only visible for PracticeVCE members. You can sign-up / login (it's free).
Membership of an Authority regulated market is obligatory for which of the following entities?
- A. Listed joint-stock companies, licensed brokers and any other type of business entity
- B. Licensed brokers
- C. Listed joint-stock companies and licensed brokers
- D. Listed joint-stock companies, licensed brokers and other listed entities
Correct Answer: D 🗳️
Explanation: Only visible for PracticeVCE members. You can sign-up / login (it's free).
An applicant for a license from the Authority has submitted a feasibility study and work plan. What method will be used to evaluate this?
- A. A stress testing exercise
- B. SWOT analysis
- C. Comparison with the same sector
- D. An operational risk matrix
Correct Answer: B 🗳️
Explanation: Only visible for PracticeVCE members. You can sign-up / login (it's free).
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