Exam Name: CISI UAE Financial Rules and Regulations Exam
Certification Provider: CISI
Corresponding Certification: Investment Operations Certificate (IOC)
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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Client Protection | 10% | |
| Markets | 11% | - Disclosure and Transparency - General background |
| The Regulatory Infrastructure | 17% | - SCA Resolutions - Accounting system controls (Decision No. 13/Chairman issued 2021) - Federal Law No. 4 of 2000 - License categories and requirements (Decision No. 13/Chairman issued 2021) - Codes of Conduct - Corporate Governance (Law No. 3 issued Jan 2020) - Securities & Commodities Authority (SCA) |
| Trading | 11% | |
| Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Licensed Bodies | 14% | - Licensing financial activities - General provisions - Requirements of capital market institutions |
| Dubai Financial Market (DFM) | 11% |
CISI UAE Financial Rules and Regulations Sample Questions:
What action will the CSD Department take shortly after uploading a shareholders' register onto the ADX's electronic systems?
- A. Send a copy of the e-register to the issuer for reconciliation purposes
- B. Issue e-registration slips to all the shareholders
- C. Notify the Authority that this process has been completed
- D. Place a back-up copy off-site for disaster-recovery purposes
Correct Answer: A 🗳️
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Where self-fund founders intend to accept in-kind shares, the fund prospectus must state whether these shares:
- A. will be held as capital assets of the fund
- B. are consistent with the fund's investment strategy
- C. may subsequently be disposed of
- D. are to be valued subjectively
Correct Answer: B 🗳️
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What does the Authority usually do before deciding to delist a company's shares?
- A. Issue a fine for payment within 30 days
- B. Issue an improvement notice of 30 days
- C. Consult with the relevant market
- D. Consult with the relevant firm
Correct Answer: B 🗳️
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When collecting data from official authorities, evaluators of investment fund in-kind shares are required to abide by the principles of honesty, justice and:
- A. governance
- B. equality
- C. prudence
- D. confidentiality
Correct Answer: D 🗳️
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If a discrepancy comes to light when conducting an external reconciliation, what must the firm do?
- A. Investigate and correct it as soon as possible
- B. Immediately suspend operations with the third party
- C. Close the client's account by close of business on the same day
- D. Immediately inform the regulator verbally and follow this up in writing
Correct Answer: A 🗳️
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