Study with UAE-Financial-Rules-and-Regulations Actual Test Questions
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Updated: Aug 22, 2026
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CISI UAE-Financial-Rules-and-Regulations Exam Overview:
| Certification Vendor: | CISI |
| Exam Name: | UAE Financial Rules and Regulations |
| Exam Number: | UAE-RR |
| Passing Score: | 70% |
| Exam Duration: | 120 minutes |
| Real Exam Qty: | 100 |
| Exam Format: | Multiple Choice |
| Available Languages: | English |
| Sample Questions: | CISI UAE-Financial-Rules-and-Regulations Sample Questions |
| Exam Way: | Computer Based Testing (CBT) |
| Official Syllabus URL: | https://www.cisi.org/go/uae-financial-rules-and-regulations |
CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Markets | 11% | - General background - Disclosure and Transparency |
| Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Trading | 11% | |
| The Regulatory Infrastructure | 17% | - Federal Law No. 4 of 2000 - Codes of Conduct - Accounting system controls (Decision No. 13/Chairman issued 2021) - License categories and requirements (Decision No. 13/Chairman issued 2021) - Corporate Governance (Law No. 3 issued Jan 2020) - SCA Resolutions - Securities & Commodities Authority (SCA) |
| Investment Funds | 11% | - The local fund - Provisions specific to certain public funds |
| Dubai Financial Market (DFM) | 11% | |
| Client Protection | 10% | |
| Licensed Bodies | 14% | - Licensing financial activities - Requirements of capital market institutions - General provisions |
CISI UAE Financial Rules and Regulations Sample Questions:
1. A real estate investment fund may borrow no more than what percentage of its total assets value?
A) 75%
B) 50%
C) 25%
D) 10%
2. An application submitted to the ADX by the brokerage company to enable it to supply E-Trading services will result in a decision to approve or reject the application within:
A) 10 days
B) 30 days
C) 5 days
D) 2 days
3. The Board of a securities market wished to suspend a rule relating to the operations of that market, why was it unable to do so?
A) An Authority penalty was pending
B) The majority of the board was not present
C) A 30-day notice was not provided
D) It failed to seek permission from the Authority
4. Which of the following is an administrative penalty that can be imposed on financial institutions that violate the law and regulations in relation to money laundering and terrorism financing?
A) A penalty of no less than AED 100,000 and no more than AED 10,000,000 for each violation
B) A penalty of no less than AED 50,000 and no more than AED 5,000,000 for each violation
C) A penalty of no less than AED 15,000 and no more than AED 5,000,000 for each violation
D) A penalty of no less than AED 5,000 and no more than AED 1,000,000 for each violation
5. An error was made by a broker which led to a trade being conducted using the wrong trading account number.
If the trader submitted a request to have the number amended 40 minutes after the end of the trading session, the amendment would only be made if:
A) an impact assessment gives acceptable results
B) the circumstances are considered to be exceptional
C) an alteration fee is paid at the same time
D) the correction is within a 5% error margin
Solutions:
| Question # 1 Answer: B | Question # 2 Answer: C | Question # 3 Answer: D | Question # 4 Answer: B | Question # 5 Answer: B |
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