- Exam Code: UAE-Financial-Rules-and-Regulations
- Exam Name: CISI UAE Financial Rules and Regulations Exam
- Updated: Sep 07, 2026
- Q & A: 188 Questions and Answers
CISI UAE Financial Rules and Regulations : UAE-Financial-Rules-and-Regulations exam
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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: Financial Conduct and Compliance | - Conduct of business standards
|
| Topic 2: Anti-Money Laundering and Financial Crime | - Financial crime prevention
|
| Topic 3: Regulatory Ethics and Professional Standards | - Ethical standards in financial services
|
| Topic 4: UAE Financial Regulatory Framework | - Securities and investment regulation
|
CISI UAE Financial Rules and Regulations Sample Questions:
Question 1
A real estate investment fund may borrow no more than what percentage of its total assets value?
A. 25%
B. 50%
C. 10%
D. 75%
Question 2
An error was made by a broker which led to a trade being conducted using the wrong trading account number.
If the trader submitted a request to have the number amended 40 minutes after the end of the trading session, the amendment would only be made if:
A. an impact assessment gives acceptable results
B. the correction is within a 5% error margin
C. the circumstances are considered to be exceptional
D. an alteration fee is paid at the same time
Question 3
The minimum price movement for an MSCI India Index Futures (INR) contract is:
A. 0.5 index points
B. 0.25 index points
C. US$1.00
D. US$0.01
Question 4
In which circumstances might lawyers, notary publics, other legal stakeholders and independent legal auditors be exempt from suspicious transaction reporting requirements?
A. When conducting real estate transactions within the UAE
B. When providing services relating to beneficiaries of insurance policies
C. When advising on financial transactions for politically exposed persons
D. When providing legal opinion with regards to legal proceedings
Question 5
There is a regulatory obligation placed on the evaluator of an investment fund's in-kind shares to indicate whether the shares:
A. Represent short- or long-term assets
B. Are capital-growth or income-orientated
C. Were acquired at a discount or not
D. Can be liquidated or not
Solutions:
| Question 1 Answer: B | Question 2 Answer: C | Question 3 Answer: A | Question 4 Answer: D | Question 5 Answer: D |
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