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CISI UAE-Financial-Rules-and-Regulations Exam Overview:
| Certification Vendor: | CISI |
|---|---|
| Exam Name: | UAE Financial Rules and Regulations |
| Exam Number: | UAE-RR |
| Real Exam Qty: | 100 |
| Exam Format: | Multiple Choice |
| Exam Duration: | 120 minutes |
| Passing Score: | 70% |
| Available Languages: | English |
| Sample Questions: | CISI UAE-Financial-Rules-and-Regulations Sample Questions |
| Exam Way: | Computer Based Testing (CBT) |
| Official Syllabus URL: | https://www.cisi.org/go/uae-financial-rules-and-regulations |
CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Investment Funds | 11% | - The local fund - Provisions specific to certain public funds |
| Dubai Financial Market (DFM) | 11% | |
| Licensed Bodies | 14% | - Licensing financial activities - Requirements of capital market institutions - General provisions |
| The Regulatory Infrastructure | 17% | - Federal Law No. 4 of 2000 - License categories and requirements (Decision No. 13/Chairman issued 2021) - SCA Resolutions - Securities & Commodities Authority (SCA) - Corporate Governance (Law No. 3 issued Jan 2020) - Codes of Conduct - Accounting system controls (Decision No. 13/Chairman issued 2021) |
| Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Markets | 11% | - Disclosure and Transparency - General background |
| Client Protection | 10% | |
| Trading | 11% |
CISI UAE Financial Rules and Regulations Sample Questions:
Under what circumstances, if any, is an introducer allowed to provide an investor with financial analysis?
- A. Only if the client proactively requests one
- B. Only if no recommendations are made
- C. Only if it is licensed to do so
- D. Under no circumstances
Correct Answer: C 🗳️
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A Special Purpose Acquisition Company deposited 95% of its public subscription proceeds into an escrow account. It is permitted to use this money to:
- A. Finance an internal restructuring programme
- B. Hedge against adverse market movements
- C. Fund the issue of additional shares
- D. Meet recovery requests by the investors
Correct Answer: D 🗳️
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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 150 million
- D. AED 50 million
Correct Answer: A 🗳️
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The conciliation process allows the Authority to impose what alternative to criminal prosecution?
- A. Suspension of activities for a specified period
- B. Negotiated out-of-court settlement
- C. Referral to the Central Bank
- D. Payment of a prescribed amount of money
Correct Answer: B 🗳️
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A financial services firm was able to treat client assets as its own without breaching the custody rules. This was because the firm:
- A. Obtained the client's prior consent
- B. Operated on an execution-only basis
- C. Satisfied the insolvency criteria
- D. Utilised a bank's underlying guarantee
Correct Answer: A 🗳️
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