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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Markets | 10% | - Trading and settlement rules - UAE exchanges: DFM, ADX, NASDAQ Dubai - Listing and admission requirements |
| The Regulatory Infrastructure | 10% | - Roles and powers of regulators - Legislative framework and regulatory objectives - Regulatory bodies: SCA, CBUAE, DFSA, FSRA |
| Authorised Persons | 6% | - Conduct of business rules - Licensing and authorization requirements - Obligations of authorized firms and individuals |
| Trading | 20% | - Trading rules and mechanisms - Reporting and compliance requirements - Market integrity and surveillance |
| Market Conduct Legislation and Regulation | 28% | - Insider dealing and market abuse - Financial crime, AML and CFT regulations - Disclosure and transparency obligations |
| Associated Market and Securities Legislation and Practice | 6% | - Legal obligations of market participants - Securities laws and regulations - Market operation rules |
| Client Protection | 20% | - Client assets and money protection - Communications, reporting and complaints handling - Client identification and classification |
CISI UAE Financial Rules and Regulations Sample Questions:
What is the minimum fine that can be levied on someone who commits a money laundering crime through an organised crime group?
- A. AED 300,000
- B. AED 200,000
- C. AED 400,000
- D. AED 500,000
Correct Answer: A 🗳️
Explanation: Only visible for PrepAway members. You can sign-up / login (it's free).
A Special Purpose Acquisition Company which wants to make its shares available to the public intends to appoint a risk consultant, a listing consultant and a financial consultant. Which of these appointments is required under the regulations?
- A. Risk consultant and listing consultant only
- B. Listing consultant and financial consultant only
- C. Risk consultant, listing consultant and financial consultant
- D. Financial consultant and risk consultant only
Correct Answer: B 🗳️
Explanation: Only visible for PrepAway members. You can sign-up / login (it's free).
If an offering person arranges the issuance of crypto assets for which funds have been subscribed by investors, controls must be set up to avoid:
- A. subscriptions being taken at different threshold levels
- B. subscriptions being taken at excessive levels from non-qualified investors
- C. prices being allowed to fluctuate during the opening offer period
- D. prices being determined at the discretion of the issuer
Correct Answer: B 🗳️
Explanation: Only visible for PrepAway members. You can sign-up / login (it's free).
A real estate investment fund may borrow no more than what percentage of its total assets value?
- A. 25%
- B. 50%
- C. 10%
- D. 75%
Correct Answer: B 🗳️
Explanation: Only visible for PrepAway members. You can sign-up / login (it's free).
What is the maximum term of imprisonment that can be imposed on a person who attempts to commit the crime of money laundering?
- A. Five years
- B. Seven years
- C. Three years
- D. Ten years
Correct Answer: A 🗳️
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