Exam Name: CISI UAE Financial Rules and Regulations Exam
Certification Provider: CISI
Corresponding Certification: Investment Operations Certificate (IOC)
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Check Updated on: Oct 21, 2026
No. of Questions: 188 Questions & Answers with Exam Engine
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- Total Questions: 188
- Updated on: Oct 21, 2026
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- Total Questions: 188
- Updated on: Oct 21, 2026
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- Total Questions: 188
- Updated on: Oct 21, 2026
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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Investment Funds | 11% | - The local fund - Provisions specific to certain public funds |
| Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Trading | 11% | |
| Dubai Financial Market (DFM) | 11% | |
| The Regulatory Infrastructure | 17% | - Codes of Conduct - SCA Resolutions - Corporate Governance (Law No. 3 issued Jan 2020) - Securities & Commodities Authority (SCA) - Accounting system controls (Decision No. 13/Chairman issued 2021) - Federal Law No. 4 of 2000 - License categories and requirements (Decision No. 13/Chairman issued 2021) |
| Licensed Bodies | 14% | - Requirements of capital market institutions - Licensing financial activities - General provisions |
| Client Protection | 10% | |
| Markets | 11% | - General background - Disclosure and Transparency |
UAE-Financial-Rules-and-Regulations Exam FAQ: Save Time, Read This
CISI UAE Financial Rules and Regulations is an official CISI certification exam, listed under the code UAE-Financial-Rules-and-Regulations. Passing it earns the Investment Operations Certificate (IOC) certification at the Intermediate level. It also ties into . In an era of lifelong learning, this credential is one of the most efficient ways to prove your skills keep pace.
CISI UAE Financial Rules and Regulations gives you 100 questions across 120 minutes. The efficient approach: one to two hours of daily timed practice in the Actual4dump engine builds both the knowledge and the pacing, so exam day feels like simply another well-run session.
The CISI UAE Financial Rules and Regulations syllabus is organized into 8 domains, led by Trading (11%), The Regulatory Infrastructure (17%), and Markets (11%). The complete breakdown is above on this page; it is the fastest way to learn where your limited preparation hours belong.
Yes on both counts. Download the free demo of the CISI UAE Financial Rules and Regulations questions first, and browse the comments written by former customers for a second opinion. After purchase, new versions are sent to you as soon as they release, free for 365 days; after expiry, extending the update service costs 50% of the regular price.
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CISI UAE Financial Rules and Regulations Sample Questions:
Which of the following customer due diligence measures should be taken if a client is a foreign politically exposed person?
- A. Seek Authority approval to proceed
- B. Examine the latest Interpol watch list
- C. Attempt to establish the source of the funds
- D. Conduct a prescribed risk / benefit analysis
Correct Answer: C 🗳️
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A licensed person who conducts financial activities related to security tokens is required to carry out a suitability check only if:
- A. the licensed person has less than 3 years' relevant experience
- B. the client is not a qualified investor
- C. the amount being invested exceeds AED 100,000
- D. the token falls into the high risk category
Correct Answer: B 🗳️
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One of the financial activities included within "dealing in investment" and expected to be conducted by a Financial Analyst is:
- A. Managing a portfolio of securities
- B. Securities dealing
- C. Trading brokerage
- D. Administrative services for investment funds
Correct Answer: A 🗳️
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In a ranking and advice firm, which approved job role would undertake the activities of a listing consultant?
- A. Trading and Clearing Broker
- B. Compliance Officer
- C. Financial Analyst
- D. Broker Representative
Correct Answer: C 🗳️
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If an issuer provides its shareholders with bonus shares, then the CSD Department will deposit the bonus shares issued in the account and will register them as a whole, round number. What happens in the case that there are fractions of shares?
- A. They are totalled up and put in a suspense account
- B. The issuing company must sell them within 30 days
- C. The issuing company must sell them within 45 days
- D. These are also added to the shareholder's account
Correct Answer: A 🗳️
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