Exam Name: CISI UAE Financial Rules and Regulations Exam
Certification Provider: CISI
Corresponding Certification: Investment Operations Certificate (IOC)
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- Total Questions: 188
- Updated on: Oct 13, 2026
- Price: $69.00
UAE-Financial-Rules-and-Regulations PDF Practice Q&A's
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- Total Questions: 188
- Updated on: Oct 13, 2026
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- Total Questions: 188
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CISI UAE-Financial-Rules-and-Regulations Exam Overview:
| Certification Vendor: | CISI (Chartered Institute for Securities & Investment) |
|---|---|
| Exam Name: | UAE Financial Rules and Regulations |
| Exam Number: | UAE-Financial-Rules-and-Regulations |
| Passing Score: | 70% |
| Exam Duration: | 60 minutes |
| Exam Price: | £150 - £190 GBP / $190 - $240 USD |
| Related Certifications: | CISI Capital Markets Programme CISI Investment Operations Certificate |
| Certificate Validity Period: | Valid for 3 years |
| Real Exam Qty: | 50 |
| Available Languages: | English |
| Exam Format: | Multiple Choice Questions, Computer-Based Testing, Scenario-based questions |
| Recommended Training: | CISI Official Study Text CISI E-learning |
| Exam Registration: | CISI Official Registration Pearson VUE Test Centres |
| Sample Questions: | DOWNLOAD DEMO |
| Exam Way: | Computer-based at Pearson VUE test centres or remote online proctored |
| Pre Condition: | No mandatory prerequisites; recommended for finance professionals working in UAE regulated environment |
| Official Syllabus URL: | https://www.cisi.org/qualifications/uae-financial-rules-and-regulations |
CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Market Conduct Legislation and Regulation | 28% | - Financial crime, AML and CFT regulations - Insider dealing and market abuse - Disclosure and transparency obligations |
| Markets | 10% | - UAE exchanges: DFM, ADX, NASDAQ Dubai - Trading and settlement rules - Listing and admission requirements |
| The Regulatory Infrastructure | 10% | - Roles and powers of regulators - Legislative framework and regulatory objectives - Regulatory bodies: SCA, CBUAE, DFSA, FSRA |
| Trading | 20% | - Reporting and compliance requirements - Trading rules and mechanisms - Market integrity and surveillance |
| Client Protection | 20% | - Communications, reporting and complaints handling - Client identification and classification - Client assets and money protection |
| Authorised Persons | 6% | - Licensing and authorization requirements - Conduct of business rules - Obligations of authorized firms and individuals |
| Associated Market and Securities Legislation and Practice | 6% | - Market operation rules - Securities laws and regulations - Legal obligations of market participants |
Your CISI UAE Financial Rules and Regulations Questions, Answered
- Markets (10%)
- Trading (20%)
- Market Conduct Legislation and Regulation (28%)
Use the weights to plan how much time each topic deserves.
No mandatory prerequisites; recommended for finance professionals working in UAE regulated environment
Buying the CISI UAE Financial Rules and Regulations material ahead of your exam date gives you room to study calmly and to work through several refreshed versions of the question bank as updates arrive. Early preparation turns revision into a routine instead of a last-minute rush.
UAE-Financial-Rules-and-Regulations requires 70% to pass, and the official exam fee is £150 - £190 GBP / $190 - $240 USD. Knowing both numbers early helps you plan the exam date and your study target together.
The UAE-Financial-Rules-and-Regulations exam contains 50 questions with a 60 minutes-minute limit. Practicing under identical conditions on the NewPassLeader engine makes time pressure feel familiar rather than frightening.
CISI Official Study Text: Visit official page
CISI E-learning: Visit official page
CISI Official Registration: register for UAE-Financial-Rules-and-Regulations
Pearson VUE Test Centres: register for UAE-Financial-Rules-and-Regulations
Our professionals monitor the latest IT developments and adjust the material as soon as the exam outline shifts. New questions with verified answers are added, old and irrelevant ones are removed, and the size of the CISI UAE Financial Rules and Regulations bank is matched to actual exam conditions so your revision stays efficient.
This package includes 188 practice questions for the UAE-Financial-Rules-and-Regulations exam, sized to reflect the real test and kept current through regular review.
CISI UAE Financial Rules and Regulations Sample Questions:
If an error in the final cash settlement price of an equity index comes to the attention of the Exchange more than 30 minutes after the publication of the final cash settlement price, what happens?
- A. Liability is apportioned
- B. It will be re-determined
- C. No correction will be made
- D. The provider will correct it
Correct Answer: C 🗳️
Explanation: Only visible for NewPassLeader members. You can sign-up / login (it's free).
The market must provide an electronic trading system which ensures:
- A. Provision of trading accounts that can be opened in the names of two or more investors without the requirement for Authority approval
- B. The ability to manually stop purchase orders which exceed the limits of the broker's bank guarantee or reach the limit of a special order
- C. The automatic stopping of purchase orders which exceed the limits of the broker's bank guarantee or reach the limit of a special order
- D. Privacy to enable all companies and entities whose securities are listed in the market, and their registrars, to keep the information secret
Correct Answer: C 🗳️
Explanation: Only visible for NewPassLeader members. You can sign-up / login (it's free).
When promoting private funds, related materials must:
- A. receive prior approval of the content from the Authority
- B. refrain from using public advertisement media of certain types, including audio and video, with the exception of read media
- C. advise that the funds cannot be transferred to a third party
- D. clarify the private fund's specific nature and include the required disclaimer laid down by the Authority
Correct Answer: D 🗳️
Explanation: Only visible for NewPassLeader members. You can sign-up / login (it's free).
An in-kind shares evaluation report must be based on data covering what maximum period before the evaluation date?
- A. One month
- B. Two months
- C. Three months
- D. Four months
Correct Answer: C 🗳️
Explanation: Only visible for NewPassLeader members. You can sign-up / login (it's free).
The offence of tipping off leads to:
- A. Imprisonment for no less than six months and/or a penalty of no less than AED 100,000 and no more than AED 500,000
- B. Imprisonment for life and/or a penalty of no less than AED 100,000 and no more than AED 5,000,000
- C. Imprisonment for no less than six months and/or a penalty of no less than AED 1,000,000 and no more than AED 5,000,000
- D. Imprisonment for no less than six years and/or a penalty of no less than AED 100,000 and no more than AED 500,000
Correct Answer: A 🗳️
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