CISI UAE-Financial-Rules-and-Regulations dumps - in .pdf

UAE-Financial-Rules-and-Regulations pdf
  • Exam Code: UAE-Financial-Rules-and-Regulations
  • Exam Name: CISI UAE Financial Rules and Regulations Exam
  • Updated: Oct 06, 2026
  • Q & A: 188 Questions and Answers
  • PDF Price: $59.99
  • Free Demo

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  • Exam Code: UAE-Financial-Rules-and-Regulations
  • Exam Name: CISI UAE Financial Rules and Regulations Exam
  • Updated: Oct 06, 2026
  • Q & A: 188 Questions and Answers
  • PDF Version + PC Test Engine + Online Test Engine
  • Value Pack Total: $119.98  $79.99
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UAE-Financial-Rules-and-Regulations Testing Engine
  • Exam Code: UAE-Financial-Rules-and-Regulations
  • Exam Name: CISI UAE Financial Rules and Regulations Exam
  • Updated: Oct 06, 2026
  • Q & A: 188 Questions and Answers
  • Software Price: $59.99
  • Testing Engine

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

SectionWeightObjectives
The Regulatory Infrastructure17%- Federal Law No. 4 of 2000
- Corporate Governance (Law No. 3 issued Jan 2020)
- Codes of Conduct
- SCA Resolutions
- Securities & Commodities Authority (SCA)
- Accounting system controls (Decision No. 13/Chairman issued 2021)
- License categories and requirements (Decision No. 13/Chairman issued 2021)
Investment Funds11%- Provisions specific to certain public funds
- The local fund
Licensed Bodies14%- General provisions
- Licensing financial activities
- Requirements of capital market institutions
Markets11%- Disclosure and Transparency
- General background
Trading11%
Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations14%- Federal Law No. 20 of 2018
Client Protection10%
Dubai Financial Market (DFM)11%

CISI UAE Financial Rules and Regulations Sample Questions:

Question #1

If there is a material change in the nature of the relevant software, the regulations state that investors who have accepted an offer of crypto assets must be notified:

  • A. within no less than 14 days
  • B. within no less than 7 days
  • C. promptly in advance
  • D. immediately after implementation
Reveal Solution  Discussion  0

Correct Answer: C  🗳️

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Question #2

Why might employees in one part of a regulated business be permitted to withhold information from employees in another part of the business?

  • A. To comply with a Chinese wall
  • B. At the request of the audit function
  • C. Strict privacy of client information
  • D. Prevention of insider trading
Reveal Solution  Discussion  0

Correct Answer: A  🗳️

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Question #3

The last trading day for an India Gold Quanto Futures contract is:

  • A. one business day prior to the last business day of the delivery month
  • B. the 25th calendar day of the delivery month
  • C. two business days prior to the last business day of the delivery month
  • D. four business days prior to the 25th calendar day of the delivery month
Reveal Solution  Discussion  0

Correct Answer: C  🗳️

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Question #4

A firm offering custody, clearing and recording, is required to have a minimum paid-up capital of:

  • A. AED 100 million
  • B. AED 30 million
  • C. AED 50 million
  • D. AED 150 million
Reveal Solution  Discussion  0

Correct Answer: A  🗳️

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Question #5

The Corporate Governance Guide automatically allows board members of public joint-stock companies to accept gifts up to what maximum stated value?

  • A. AED 200
  • B. AED 300
  • C. AED 500
  • D. AED 100
Reveal Solution  Discussion  0

Correct Answer: B  🗳️

Explanation: Only visible for ExamDumpsVCE members. You can sign-up / login (it's free).

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