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CISI UAE-Financial-Rules-and-Regulations Questions & Answers - in .pdf

UAE-Financial-Rules-and-Regulations pdf
  • Total Q&A: 102
  • Update: Aug 20, 2026
  • Price: $59.99
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  • Vendor: CISI
  • Exam Code: UAE-Financial-Rules-and-Regulations
  • Exam Name: CISI UAE Financial Rules and Regulations Exam
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UAE-Financial-Rules-and-Regulations Study Guide
  • Total Q&A: 102
  • Update: Aug 20, 2026
  • Price: $59.99
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  • Vendor: CISI
  • Exam Code: UAE-Financial-Rules-and-Regulations
  • Exam Name: CISI UAE Financial Rules and Regulations Exam
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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
Exam Duration:120 minutes
Exam Format:Multiple Choice
Passing Score:70%
Available Languages:English
Real Exam Qty:100
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:

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

CISI UAE Financial Rules and Regulations Sample Questions:

1. 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) 25
C) 15
D) 10


2. The role of the authorised agent of the exchange-traded fund (ETF) is to:

A) regularly announce the indicative value of the net value of assets
B) announce the net value of the unit's assets on a daily basis
C) ensure that the transfer of ownership of units is completed
D) update sell and buy orders


3. The minimum paid-up capital requirement for ranking and advice firms is:

A) AED 50 million
B) AED 5 million
C) AED 30 million
D) none


4. If the two evaluators for an in-kind share transfer produce different fair value figures, what figure must be used?

A) The average of the two amounts
B) The one produced by the most experienced evaluator
C) The highest one
D) The lowest one


5. Where a financial analyst wants to conduct a personal transaction which relates to investment research being undertaken, what additional requirement is normally imposed?

A) Approval from the firm's legal or compliance department
B) Signing of a non-conflict disclaimer
C) Approval from the Authority or Central Bank
D) Signing of a guarantee undertaking


Solutions:

Question # 1
Answer: A
Question # 2
Answer: A
Question # 3
Answer: B
Question # 4
Answer: A
Question # 5
Answer: A

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