Get real UAE-Financial-Rules-and-Regulations exam questions for better preparation
Real CISI UAE-Financial-Rules-and-Regulations practice exam questions for easy pass!
Updated: Aug 20, 2026
No. of Questions: 102 Questions & Answers with Testing Engine
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CISI UAE-Financial-Rules-and-Regulations Exam Overview:
| Certification Vendor: | CISI |
| Exam Name: | CISI UAE Financial Rules and Regulations Exam |
| Exam Number: | UAE-Financial-Rules-and-Regulations |
| Available Languages: | English |
| Recommended Training: | CISI Learning and Qualifications |
| Exam Registration: | CISI Official Website |
| Sample Questions: | CISI UAE-Financial-Rules-and-Regulations Sample Questions |
| Exam Way: | Typically delivered via CISI approved examination centers or online proctored delivery (varies by region and provider arrangement). |
| Pre Condition: | No formal prerequisite specified; recommended basic understanding of financial services regulation. |
| Official Syllabus URL: | https://www.cisi.org |
CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: Anti-Money Laundering and Financial Crime | - AML/CFT requirements in the UAE
|
| Topic 2: Financial Conduct and Compliance | - Compliance and supervision
|
| Topic 3: Regulatory Ethics and Professional Standards | - Regulatory accountability
|
| Topic 4: UAE Financial Regulatory Framework | - Federal financial regulation structure
|
CISI UAE Financial Rules and Regulations Sample Questions:
1. What is the minimum fine that can be levied on a person found guilty of financing an illegal organisation?
A) AED 300,000
B) AED 250,000
C) AED 200,000
D) AED 150,000
2. When a company applies to become a Special Purpose Acquisition Company, its sponsors must prepare proposals to:
A) reduce the risk to investors
B) identify potential money laundering
C) deal with succession planning
D) manage conflicts of interest
3. A vote carried out by the board of the Authority resulted in a tie. What happens in these circumstances?
A) The vote against the resolution is automatically carried
B) The chairman or their deputy is granted the casting vote
C) The decision is postponed until another vote can be taken
D) The vote for the resolution is automatically carried
4. The approved job for conducting securities dealing is:
A) Category Manager
B) Trading Manager
C) Broker Representative
D) Operations Manager
5. Which of the following is one of the prescribed financial activities for which the Authority can issue a license?
A) Corporate planning
B) Risk management
C) Analysis
D) Promotion
Solutions:
| Question # 1 Answer: D | Question # 2 Answer: D | Question # 3 Answer: B | Question # 4 Answer: C | Question # 5 Answer: B |
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