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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Anti-Money Laundering and Financial Crime | - AML/CFT requirements in the UAE
|
| Financial Conduct and Compliance | - Compliance and supervision
|
| UAE Financial Regulatory Framework | - Securities and investment regulation
|
| Regulatory Ethics and Professional Standards | - Regulatory accountability
|
CISI UAE Financial Rules and Regulations Sample Questions:
Where a client is a legal person, the customer due diligence obligations require verification of identity for any natural persons holding what minimum controlling ownership interest?
- A. 25%
- B. 51%
- C. 10%
- D. 3%
Correct Answer: A 🗳️
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Where an individual opens a trading account with a broker in order to trade securities listed on the ADX, the investor number allocated will be subdivided according to:
- A. The size of the investor's portfolio
- B. The nationality of the investor
- C. The status of the investor's bank account
- D. The tax status of the investor
Correct Answer: B 🗳️
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An in-kind shares evaluation report must be based on data covering what maximum period before the evaluation date?
- A. Three months
- B. Two months
- C. One month
- D. Four months
Correct Answer: A 🗳️
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If the mid-point is used to determine the theoretical auction price for a pre-closing session of the DFM, it is:
- A. rounded up to the nearest price tick
- B. rounded to one decimal place
- C. rounded to two decimal places
- D. rounded down to the nearest price tick
Correct Answer: A 🗳️
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When promoting private funds, related materials must:
- A. refrain from using public advertisement media of certain types, including audio and video, with the exception of read media
- B. receive prior approval of the content from the Authority
- 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 🗳️
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