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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Client Protection | 20% | - Client identification and classification - Client assets and money protection - Communications, reporting and complaints handling |
| Topic 2: Authorised Persons | 6% | - Licensing and authorization requirements - Obligations of authorized firms and individuals - Conduct of business rules |
| Topic 3: Trading | 20% | - Market integrity and surveillance - Reporting and compliance requirements - Trading rules and mechanisms |
| Topic 4: Market Conduct Legislation and Regulation | 28% | - Disclosure and transparency obligations - Insider dealing and market abuse - Financial crime, AML and CFT regulations |
| Topic 5: Markets | 10% | - Listing and admission requirements - UAE exchanges: DFM, ADX, NASDAQ Dubai - Trading and settlement rules |
| Topic 6: The Regulatory Infrastructure | 10% | - Legislative framework and regulatory objectives - Regulatory bodies: SCA, CBUAE, DFSA, FSRA - Roles and powers of regulators |
| Topic 7: Associated Market and Securities Legislation and Practice | 6% | - Legal obligations of market participants - Market operation rules - Securities laws and regulations |
CISI UAE Financial Rules and Regulations Sample Questions:
What rule applies to a foreign brokerage company applying for remote access to the ADX if it has previously been refused a licence by a regulator equivalent to the Authority?
- A. The company will be required to provide additional collateral
- B. The company will only be granted limited privileges
- C. The application will be reviewed by the board of the ADX
- D. The application will automatically be rejected
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A good-till-cancelled order on the DFM will remain available for execution unless it is cancelled by:
- A. the broker
- B. the market committee
- C. the clearing member
- D. the investor
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Which type of securities are subject to exchange crime prohibitions?
- A. Company shares and bonds only
- B. All tradeable financial instruments including crypto-assets
- C. Company shares, bonds and derivatives
- D. All tradeable financial instruments except crypto-assets
Explanation: Only visible for Real4dumps members. You can sign-up / login (it's free).
Which of the following features of a previous order can be changed with the order remaining valid?
- A. Volume
- B. Market
- C. Order type
- D. Share category
Explanation: Only visible for Real4dumps members. You can sign-up / login (it's free).
Membership of an Authority regulated market is obligatory for which of the following entities?
- A. Listed joint-stock companies and licensed brokers
- B. Listed joint-stock companies, licensed brokers and other listed entities
- C. Listed joint-stock companies, licensed brokers and any other type of business entity
- D. Licensed brokers
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