Pass the actual test with the help of UAE-Financial-Rules-and-Regulations study guide
Last Updated: Oct 24, 2026
No. of Questions: 188 Questions & Answers with Testing Engine
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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: The Regulatory Infrastructure | 10% | - Roles and powers of regulators - Legislative framework and regulatory objectives - Regulatory bodies: SCA, CBUAE, DFSA, FSRA |
| Topic 2: Markets | 10% | - UAE exchanges: DFM, ADX, NASDAQ Dubai - Listing and admission requirements - Trading and settlement rules |
| Topic 3: Associated Market and Securities Legislation and Practice | 6% | - Legal obligations of market participants - Market operation rules - Securities laws and regulations |
| Topic 4: Trading | 20% | - Trading rules and mechanisms - Reporting and compliance requirements - Market integrity and surveillance |
| Topic 5: Client Protection | 20% | - Communications, reporting and complaints handling - Client identification and classification - Client assets and money protection |
| Topic 6: Authorised Persons | 6% | - Obligations of authorized firms and individuals - Conduct of business rules - Licensing and authorization requirements |
| Topic 7: Market Conduct Legislation and Regulation | 28% | - Disclosure and transparency obligations - Insider dealing and market abuse - Financial crime, AML and CFT regulations |
Which of the following is a sanction available to the Authority in the event of a violation of its provisions?
Correct Answer: A 🗳️
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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:
Correct Answer: C 🗳️
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A Special Purpose Acquisition Company which wants to make its shares available to the public intends to appoint a risk consultant, a listing consultant and a financial consultant. Which of these appointments is required under the regulations?
Correct Answer: A 🗳️
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The minimum price movement for a West Texas Intermediate (WTI) Light Sweet Oil Futures contract is:
Correct Answer: B 🗳️
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Which of the following customer due diligence measures should be taken if a client is a foreign politically exposed person?
Correct Answer: B 🗳️
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