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Updated: Aug 19, 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 |
| Related Certifications: | CISI Capital Markets Programme CISI Investment Operations Certificate |
| Passing Score: | 70% |
| Certificate Validity Period: | Valid for 3 years |
| Exam Format: | Multiple Choice Questions, Computer-Based Testing, Scenario-based questions |
| Exam Price: | £150 - £190 GBP / $190 - $240 USD |
| Real Exam Qty: | 50 |
| Exam Duration: | 60 minutes |
| Recommended Training: | CISI Official Study Text CISI E-learning |
| Exam Registration: | Pearson VUE Test Centres CISI Official Registration |
| 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: Associated Market and Securities Legislation and Practice | 6% | - Market operation rules - Securities laws and regulations - Legal obligations of market participants |
| Topic 2: Client Protection | 20% | - Client identification and classification - Client assets and money protection - Communications, reporting and complaints handling |
| Topic 3: Authorised Persons | 6% | - Obligations of authorized firms and individuals - Conduct of business rules - Licensing and authorization requirements |
| Topic 4: The Regulatory Infrastructure | 10% | - Legislative framework and regulatory objectives - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Roles and powers of regulators |
| Topic 5: Markets | 10% | - UAE exchanges: DFM, ADX, NASDAQ Dubai - Listing and admission requirements - Trading and settlement rules |
| Topic 6: Market Conduct Legislation and Regulation | 28% | - Disclosure and transparency obligations - Financial crime, AML and CFT regulations - Insider dealing and market abuse |
| Topic 7: Trading | 20% | - Market integrity and surveillance - Trading rules and mechanisms - Reporting and compliance requirements |
CISI UAE Financial Rules and Regulations Sample Questions:
1. A joint-stock company applying for a licence to conduct clearing activities in a commodity market recently appointed a new chairman and a new CEO. Why did this lead to the application being refused?
A) Only the chairman held a tranche of the company's shares
B) They were supported by just three other board members
C) They had been employed by the company during the previous year
D) Only the CEO's compensation had been approved by the Authority
2. On the Dubai Gold & Commodities Exchange, how many delivery months are available for trading in Dubai India Quanto Crude Oil futures?
A) 12
B) 18
C) 2
D) 6
3. Establishing a local investment fund requires the approval of the Authority, for a public fund this will either be granted or rejected within:
A) 30 working days
B) 20 working days
C) 5 working days
D) 10 working days
4. DFM brokerage firms are required to ensure that employees have appropriate professional experience if they:
A) are employed to deal with clients or on their behalf
B) are new to the company or the industry
C) are on full-time or substantial part-time contracts
D) are employed to operate an electronic trading or clearing system
5. A real estate investment fund may borrow no more than what percentage of its total assets value?
A) 75%
B) 25%
C) 10%
D) 50%
Solutions:
| Question # 1 Answer: C | Question # 2 Answer: A | Question # 3 Answer: B | Question # 4 Answer: A | Question # 5 Answer: D |
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