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Updated: Aug 26, 2026
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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 |
| Available Languages: | English |
| Exam Format: | Multiple Choice Questions, Computer-Based Testing, Scenario-based questions |
| Certificate Validity Period: | Valid for 3 years |
| Real Exam Qty: | 50 |
| Passing Score: | 70% |
| Related Certifications: | CISI Capital Markets Programme CISI Investment Operations Certificate |
| Exam Price: | £150 - £190 GBP / $190 - $240 USD |
| Exam Duration: | 60 minutes |
| Recommended Training: | CISI E-learning CISI Official Study Text |
| Exam Registration: | Pearson VUE Test Centres CISI Official Registration |
| Sample Questions: | CISI UAE-Financial-Rules-and-Regulations Sample Questions |
| 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 |
|---|---|---|
| The Regulatory Infrastructure | 10% | - Legislative framework and regulatory objectives - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Roles and powers of regulators |
| Markets | 10% | - Trading and settlement rules - UAE exchanges: DFM, ADX, NASDAQ Dubai - Listing and admission requirements |
| Client Protection | 20% | - Client identification and classification - Client assets and money protection - Communications, reporting and complaints handling |
| Market Conduct Legislation and Regulation | 28% | - Disclosure and transparency obligations - Insider dealing and market abuse - Financial crime, AML and CFT regulations |
| Authorised Persons | 6% | - Obligations of authorized firms and individuals - Licensing and authorization requirements - Conduct of business rules |
| Trading | 20% | - Market integrity and surveillance - Trading rules and mechanisms - Reporting and compliance requirements |
| Associated Market and Securities Legislation and Practice | 6% | - Securities laws and regulations - Market operation rules - Legal obligations of market participants |
CISI UAE Financial Rules and Regulations Sample Questions:
1. Within what period after the date of closing subscriptions must the fund manager and the founders of a self- managed fund submit a certificate of completion from the auditor?
A) 5 days
B) 15 days
C) 10 days
D) 30 days
2. In order to deal in securities, what minimum level of paid-up capital must a firm have?
A) AED 20 million
B) AED 10 million
C) AED 50 million
D) AED 30 million
3. 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) the correction is within a 5% error margin
B) the circumstances are considered to be exceptional
C) an impact assessment gives acceptable results
D) an alteration fee is paid at the same time
4. Where the fund prospectus for an investment fund discloses the provision of in-kind shares, it must also state the:
A) Specific legislation under which this is permitted
B) Alternative assets that were considered
C) Reason why an evaluation report was not required
D) Possibility of subsequent fluctuations in their value
5. An Insiders Register should be prepared for securities issued by:
A) The company and parent company only
B) The company, the parent company, its subsidiaries or related companies
C) The company concerned only
D) The company, the parent company and its subsidiaries only
Solutions:
| Question # 1 Answer: D | Question # 2 Answer: D | Question # 3 Answer: B | Question # 4 Answer: D | Question # 5 Answer: B |
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