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Updated: Oct 27, 2026
No. of Questions: 188 Questions & Answers with Testing Engine
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CISI UAE-Financial-Rules-and-Regulations Exam Overview:
| Certification Vendor: | CISI |
|---|---|
| Exam Name: | UAE Financial Rules and Regulations |
| Exam Number: | UAE-RR |
| Real Exam Qty: | 100 |
| Available Languages: | English |
| Exam Duration: | 120 minutes |
| Exam Format: | Multiple Choice |
| Passing Score: | 70% |
| Sample Questions: | CISI UAE-Financial-Rules-and-Regulations Sample Questions |
| Exam Way: | Computer Based Testing (CBT) |
| Official Syllabus URL: | https://www.cisi.org/go/uae-financial-rules-and-regulations |
CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Trading | 11% | |
| Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Dubai Financial Market (DFM) | 11% | |
| Investment Funds | 11% | - The local fund - Provisions specific to certain public funds |
| Client Protection | 10% | |
| Markets | 11% | - Disclosure and Transparency - General background |
| Licensed Bodies | 14% | - Requirements of capital market institutions - General provisions - Licensing financial activities |
| The Regulatory Infrastructure | 17% | - SCA Resolutions - Accounting system controls (Decision No. 13/Chairman issued 2021) - License categories and requirements (Decision No. 13/Chairman issued 2021) - Corporate Governance (Law No. 3 issued Jan 2020) - Securities & Commodities Authority (SCA) - Federal Law No. 4 of 2000 - Codes of Conduct |
CISI UAE Financial Rules and Regulations Sample Questions:
When debt securities are offered through a public subscription, the offeror will be required to announce any replacement of the trustee:
- A. immediately
- B. within a maximum of 72 hours
- C. within a maximum of 48 hours
- D. after 5 working days
Correct Answer: B 🗳️
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If the listing of a debt security is suspended for more than six months, what action is the Authority entitled to take?
- A. Levy a fine against the issuer
- B. Cancel the listing
- C. Demand an immediate recovery plan from the issuer
- D. Place the listing on an at-risk register
Correct Answer: B 🗳️
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A Special Purpose Acquisition Company deposited 95% of its public subscription proceeds into an escrow account. It is permitted to use this money to:
- A. Hedge against adverse market movements
- B. Fund the issue of additional shares
- C. Finance an internal restructuring programme
- D. Meet recovery requests by the investors
Correct Answer: D 🗳️
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The market must provide an electronic trading system which ensures:
- A. Privacy to enable all companies and entities whose securities are listed in the market, and their registrars, to keep the information secret
- B. Provision of trading accounts that can be opened in the names of two or more investors without the requirement for Authority approval
- C. The ability to manually stop purchase orders which exceed the limits of the broker's bank guarantee or reach the limit of a special order
- D. The automatic stopping of purchase orders which exceed the limits of the broker's bank guarantee or reach the limit of a special order
Correct Answer: D 🗳️
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For all local funds, a semi-annual report on the public fund's performance must be prepared no later than:
- A. 2 months from the end of the semi-annual period
- B. 2 months from the end of the financial year
- C. 45 days from the end of the semi-annual period
- D. 30 days from the end of the financial year
Correct Answer: A 🗳️
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