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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Licensed Bodies | 14% | - Licensing financial activities - Requirements of capital market institutions - General provisions |
| Topic 2: Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Topic 3: Dubai Financial Market (DFM) | 11% | |
| Topic 4: Client Protection | 10% | |
| Topic 5: Trading | 11% | |
| Topic 6: Markets | 11% | - Disclosure and Transparency - General background |
| Topic 7: The Regulatory Infrastructure | 17% | - License categories and requirements (Decision No. 13/Chairman issued 2021) - Corporate Governance (Law No. 3 issued Jan 2020) - SCA Resolutions - Securities & Commodities Authority (SCA) - Accounting system controls (Decision No. 13/Chairman issued 2021) - Federal Law No. 4 of 2000 - Codes of Conduct |
| Topic 8: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
CISI UAE Financial Rules and Regulations Sample Questions:
1. The contract size for trading in Silver Futures on the Dubai Gold & Commodities Exchange is 1,000 troy ounces of refined silver, plus or minus what prescribed margin?
A) 5%
B) 1%
C) 2%
D) 10%
2. The watch list, which is monitored by an Authority-established committee, consists of which group of companies?
A) All public companies which have declared losses in the last 12 months
B) Companies in the second category
C) All private companies which have declared losses in the last 12 months
D) Companies in the first category
3. 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%
4. Why might employees in one part of a regulated business be permitted to withhold information from employees in another part of the business?
A) Prevention of insider trading
B) To comply with a Chinese wall
C) Strict privacy of client information
D) At the request of the audit function
5. A fund manager is considering investing in medium-term bonds, commercial papers, and deposit certificates.
Under the regulations, which of these can be held under a cash investment fund?
A) Medium-term bonds and commercial papers only
B) Deposit certificates and medium-term bonds only
C) Medium-term bonds, commercial papers and deposit certificates
D) Commercial papers and deposit certificates only
Solutions:
| Question # 1 Answer: A | Question # 2 Answer: A | Question # 3 Answer: B | Question # 4 Answer: B | Question # 5 Answer: D |

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