CISI UAE-Financial-Rules-and-Regulations Exam Information and Actual Questions

  • Exam Code/Number: UAE-Financial-Rules-and-Regulations
  • Exam Name/Title: CISI UAE Financial Rules and Regulations Exam
  • Certification Provider: CISI
  • Corresponding Certification: Investment Operations Certificate (IOC)
  • Exam Questions: 102
  • Updated On: Aug 22, 2026

UAE-Financial-Rules-and-Regulations
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UAE-Financial-Rules-and-Regulations Exam
CISI UAE Financial Rules and Regulations Exam

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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
Exam Duration:60 minutes
Related Certifications:CISI Capital Markets Programme
CISI Investment Operations Certificate
Available Languages:English
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
Passing Score:70%
Real Exam Qty:50
Recommended Training:CISI E-learning
CISI Official Study Text
Exam Registration:CISI Official Registration
Pearson VUE Test Centres
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:

SectionWeightObjectives
Topic 1: Authorised Persons6%- Obligations of authorized firms and individuals
- Licensing and authorization requirements
- Conduct of business rules
Topic 2: Markets10%- UAE exchanges: DFM, ADX, NASDAQ Dubai
- Listing and admission requirements
- Trading and settlement rules
Topic 3: Client Protection20%- Communications, reporting and complaints handling
- Client assets and money protection
- Client identification and classification
Topic 4: Associated Market and Securities Legislation and Practice6%- Market operation rules
- Securities laws and regulations
- Legal obligations of market participants
Topic 5: Market Conduct Legislation and Regulation28%- Insider dealing and market abuse
- Disclosure and transparency obligations
- Financial crime, AML and CFT regulations
Topic 6: The Regulatory Infrastructure10%- Regulatory bodies: SCA, CBUAE, DFSA, FSRA
- Roles and powers of regulators
- Legislative framework and regulatory objectives
Topic 7: Trading20%- Market integrity and surveillance
- Trading rules and mechanisms
- Reporting and compliance requirements


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