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Last Updated: Aug 24, 2026

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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:

SectionWeightObjectives
Topic 1: Dubai Financial Market (DFM)11%
Topic 2: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations14%- Federal Law No. 20 of 2018
Topic 3: Licensed Bodies14%- Licensing financial activities
- General provisions
- Requirements of capital market institutions
Topic 4: The Regulatory Infrastructure17%- Accounting system controls (Decision No. 13/Chairman issued 2021)
- Corporate Governance (Law No. 3 issued Jan 2020)
- License categories and requirements (Decision No. 13/Chairman issued 2021)
- Securities & Commodities Authority (SCA)
- Codes of Conduct
- Federal Law No. 4 of 2000
- SCA Resolutions
Topic 5: Trading11%
Topic 6: Markets11%- General background
- Disclosure and Transparency
Topic 7: Investment Funds11%- Provisions specific to certain public funds
- The local fund
Topic 8: Client Protection10%

CISI UAE Financial Rules and Regulations Sample Questions:

1. 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


2. A real estate investment fund may borrow no more than what percentage of its total assets value?

A) 50%
B) 75%
C) 10%
D) 25%


3. In which circumstances might lawyers, notary publics, other legal stakeholders and independent legal auditors be exempt from suspicious transaction reporting requirements?

A) When advising on financial transactions for politically exposed persons
B) When providing legal opinion with regards to legal proceedings
C) When conducting real estate transactions within the UAE
D) When providing services relating to beneficiaries of insurance policies


4. Why might employees in one part of a regulated business be permitted to withhold information from employees in another part of the business?

A) Strict privacy of client information
B) To comply with a Chinese wall
C) At the request of the audit function
D) Prevention of insider trading


5. Firms providing investment management services must provide periodic statements to retail clients, in normal circumstances at least every:

A) month
B) 12 months
C) 3 months
D) 6 months


Solutions:

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

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