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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 Price: | £150 - £190 GBP / $190 - $240 USD |
| Passing Score: | 70% |
| Certificate Validity Period: | Valid for 3 years |
| Exam Format: | Multiple Choice Questions, Computer-Based Testing, Scenario-based questions |
| Related Certifications: | CISI Capital Markets Programme CISI Investment Operations Certificate |
| Real Exam Qty: | 50 |
| Exam Duration: | 60 minutes |
| Recommended Training: | CISI Official Study Text CISI E-learning |
| Exam Registration: | CISI Official Registration Pearson VUE Test Centres |
| 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 |
|---|---|---|
| Topic 1: Trading | 20% | - Reporting and compliance requirements - Market integrity and surveillance - Trading rules and mechanisms |
| Topic 2: Market Conduct Legislation and Regulation | 28% | - Disclosure and transparency obligations - Insider dealing and market abuse - Financial crime, AML and CFT regulations |
| Topic 3: The Regulatory Infrastructure | 10% | - Legislative framework and regulatory objectives - Roles and powers of regulators - Regulatory bodies: SCA, CBUAE, DFSA, FSRA |
| Topic 4: Associated Market and Securities Legislation and Practice | 6% | - Legal obligations of market participants - Securities laws and regulations - Market operation rules |
| Topic 5: Authorised Persons | 6% | - Licensing and authorization requirements - Obligations of authorized firms and individuals - Conduct of business rules |
| Topic 6: Markets | 10% | - Listing and admission requirements - UAE exchanges: DFM, ADX, NASDAQ Dubai - Trading and settlement rules |
| Topic 7: Client Protection | 20% | - Communications, reporting and complaints handling - Client assets and money protection - Client identification and classification |
CISI UAE Financial Rules and Regulations Sample Questions:
1. The compliance regulation guide, submitted by an applicant for a license from the Authority, must set out procedures and mechanisms which will ensure that the compliance officer:
A) can report confidentially to the regulator
B) can appoint a deputy during an unplanned absence
C) is able to suspend operations in an emergency
D) has access to sufficient resources
2. Why would a transaction to purchase securities be declared null and void?
A) The investor has a conviction of an offence of dishonour
B) It was the result of a rumour being spread
C) The Authority has levied a penalty for delay of payment
D) The individual is a former employee
3. The statement in a suitability report giving reasons for the recommendation must also indicate:
A) whether or not the client has accepted this guidance
B) the extent to which the author is qualified to make this judgement
C) why the next best product or service was disregarded
D) the client's ability to bear any risks and losses
4. An applicant for a financial activities licence must have procedures in place to recover electronic records from the archive within what maximum period?
A) Three business days
B) Four calendar days
C) Two calendar days
D) Five business days
5. 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) equality
B) governance
C) confidentiality
D) prudence
Solutions:
| Question # 1 Answer: D | Question # 2 Answer: B | Question # 3 Answer: D | Question # 4 Answer: A | Question # 5 Answer: C |
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