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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Markets | 11% | - General background - Disclosure and Transparency |
| Licensed Bodies | 14% | - General provisions - Requirements of capital market institutions - Licensing financial activities |
| Trading | 11% | |
| Investment Funds | 11% | - The local fund - Provisions specific to certain public funds |
| Client Protection | 10% | |
| The Regulatory Infrastructure | 17% | - Securities & Commodities Authority (SCA) - License categories and requirements (Decision No. 13/Chairman issued 2021) - Federal Law No. 4 of 2000 - Corporate Governance (Law No. 3 issued Jan 2020) - SCA Resolutions - Accounting system controls (Decision No. 13/Chairman issued 2021) - Codes of Conduct |
| Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Dubai Financial Market (DFM) | 11% |
CISI UAE Financial Rules and Regulations Sample Questions:
Membership of an Authority regulated market is obligatory for which of the following entities?
- A. Listed joint-stock companies and licensed brokers
- B. Licensed brokers
- C. Listed joint-stock companies, licensed brokers and any other type of business entity
- D. Listed joint-stock companies, licensed brokers and other listed entities
Correct Answer: D 🗳️
Explanation: Only visible for RealValidExam members. You can sign-up / login (it's free).
The role of the safe custodian in relation to exchange-traded funds (ETFs) is to:
- A. Announce the net value of the unit's assets on a daily basis
- B. Implement the investment policy
- C. Ensure that the transfer of ownership of units is completed
- D. Update sell and buy orders
Correct Answer: C 🗳️
Explanation: Only visible for RealValidExam members. You can sign-up / login (it's free).
Which of the following is one of the prescribed financial activities for which the Authority can issue a license?
- A. Analysis
- B. Corporate planning
- C. Risk management
- D. Promotion
Correct Answer: C 🗳️
Explanation: Only visible for RealValidExam members. You can sign-up / login (it's free).
In order to be authorised to provide custody, clearing and recording services, which of the following professional roles would the Authority expect to see within a firm acting as registrar of a private joint-stock company?
- A. Operations Manager
- B. Broker Representative
- C. Investment Manager
- D. Category Manager
Correct Answer: D 🗳️
Explanation: Only visible for RealValidExam members. You can sign-up / login (it's free).
The offence of tipping off leads to:
- A. Imprisonment for no less than six years and/or a penalty of no less than AED 100,000 and no more than AED 500,000
- B. Imprisonment for no less than six months and/or a penalty of no less than AED 100,000 and no more than AED 500,000
- C. Imprisonment for no less than six months and/or a penalty of no less than AED 1,000,000 and no more than AED 5,000,000
- D. Imprisonment for life and/or a penalty of no less than AED 100,000 and no more than AED 5,000,000
Correct Answer: B 🗳️
Explanation: Only visible for RealValidExam members. You can sign-up / login (it's free).
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