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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| The Regulatory Infrastructure | 17% | - Accounting system controls (Decision No. 13/Chairman issued 2021) - SCA Resolutions - Securities & Commodities Authority (SCA) - Codes of Conduct - Federal Law No. 4 of 2000 - License categories and requirements (Decision No. 13/Chairman issued 2021) - Corporate Governance (Law No. 3 issued Jan 2020) |
| Markets | 11% | - Disclosure and Transparency - General background |
| Trading | 11% | |
| Client Protection | 10% | |
| Investment Funds | 11% | - The local fund - Provisions specific to certain public funds |
| Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Dubai Financial Market (DFM) | 11% | |
| Licensed Bodies | 14% | - Licensing financial activities - General provisions - Requirements of capital market institutions |
CISI UAE Financial Rules and Regulations Sample Questions:
If an existing company wants to offer shares after conversion into a public joint-stock company, it must have released audited financial statements for what minimum number of fiscal years prior to the request to offer shares?
- A. Four
- B. Two
- C. Five
- D. Three
Correct Answer: D 🗳️
Explanation: Only visible for PracticeVCE members. You can sign-up / login (it's free).
The statement in a suitability report giving reasons for the recommendation must also indicate:
- A. why the next best product or service was disregarded
- B. the client's ability to bear any risks and losses
- C. the extent to which the author is qualified to make this judgement
- D. whether or not the client has accepted this guidance
Correct Answer: B 🗳️
Explanation: Only visible for PracticeVCE members. You can sign-up / login (it's free).
If a Special Purpose Acquisition Company fails to complete a business combination, measures to return the funds to investors must be taken within what maximum number of business days?
- A. 20
- B. 10
- C. 25
- D. 15
Correct Answer: A 🗳️
Explanation: Only visible for PracticeVCE members. You can sign-up / login (it's free).
The regulations regarding Key Investor Information Documents for self-managed funds will be breached if the document includes:
- A. Disposal information
- B. Reference to any guarantees
- C. Reference to any evaluation
- D. Complaints information
Correct Answer: B 🗳️
Explanation: Only visible for PracticeVCE members. You can sign-up / login (it's free).
The minimum paid-up capital requirement for credit rating agencies is:
- A. AED 10 million
- B. AED 50 million
- C. AED 30 million
- D. AED 5 million
Correct Answer: D 🗳️
Explanation: Only visible for PracticeVCE members. You can sign-up / login (it's free).
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