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

Exam Code: UAE-Financial-Rules-and-Regulations
Exam Name: CISI UAE Financial Rules and Regulations Exam
Updated: Sep 10, 2026
Q & A: 188 Questions and Answers

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

Section	Weight	Objectives
Market Conduct Legislation and Regulation	28%	- Disclosure and transparency obligations - Insider dealing and market abuse - Financial crime, AML and CFT regulations
Client Protection	20%	- Client assets and money protection - Communications, reporting and complaints handling - Client identification and classification
The Regulatory Infrastructure	10%	- Legislative framework and regulatory objectives - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Roles and powers of regulators
Authorised Persons	6%	- Conduct of business rules - Licensing and authorization requirements - Obligations of authorized firms and individuals
Associated Market and Securities Legislation and Practice	6%	- Market operation rules - Legal obligations of market participants - Securities laws and regulations
Trading	20%	- Market integrity and surveillance - Reporting and compliance requirements - Trading rules and mechanisms
Markets	10%	- Trading and settlement rules - UAE exchanges: DFM, ADX, NASDAQ Dubai - Listing and admission requirements

CISI UAE Financial Rules and Regulations Sample Questions:

Question #1

If an issuer provides its shareholders with bonus shares, then the CSD Department will deposit the bonus shares issued in the account and will register them as a whole, round number. What happens in the case that there are fractions of shares?

A. The issuing company must sell them within 30 days
B. The issuing company must sell them within 45 days
C. These are also added to the shareholder's account
D. They are totalled up and put in a suspense account

Reveal Solution Discussion 0

Correct Answer: D 🗳️