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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: UAE Financial Regulatory Framework | - Federal financial regulation structure
|
| Topic 2: Anti-Money Laundering and Financial Crime | - AML/CFT requirements in the UAE
|
| Topic 3: Financial Conduct and Compliance | - Conduct of business standards
|
| Topic 4: Regulatory Ethics and Professional Standards | - Regulatory accountability
|
CISI UAE Financial Rules and Regulations Sample Questions:
1. If a Special Purpose Acquisition Company fails to complete a business combination, measures to return the funds to investors must be taken within what maximum number of business days?
A) 25
B) 20
C) 10
D) 15
2. The compliance regulation guide, submitted by an applicant for a license from the Authority, must set out procedures and mechanisms which will ensure that the compliance officer:
A) has access to sufficient resources
B) can report confidentially to the regulator
C) is able to suspend operations in an emergency
D) can appoint a deputy during an unplanned absence
3. Which of the following features of a previous order can be changed with the order remaining valid?
A) Order type
B) Market
C) Volume
D) Share category
4. If there is a material change in the nature of the relevant software, the regulations state that investors who have accepted an offer of crypto assets must be notified:
A) within no less than 14 days
B) within no less than 7 days
C) promptly in advance
D) immediately after implementation
5. The role of the authorised agent of the exchange-traded fund (ETF) is to:
A) regularly announce the indicative value of the net value of assets
B) announce the net value of the unit's assets on a daily basis
C) ensure that the transfer of ownership of units is completed
D) update sell and buy orders
Solutions:
| Question # 1 Answer: B | Question # 2 Answer: A | Question # 3 Answer: C | Question # 4 Answer: C | Question # 5 Answer: A |
