CISI UAE Financial Rules and Regulations Exam
Last Update Oct 12, 2026
Total Questions : 186
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A public joint-stock company is automatically prevented by the regulations from executing a buyback transaction if it:
Which of the following is the criminal penalty for any person who uses proceeds for the financing of terrorism?
The main purpose of the committee established by the Authority to monitor companies on the watch list is to ensure that they:
In which of the following circumstances is a brokerage company, which is both a trading and clearing member, allowed to freeze a client's securities?
A Special Purpose Acquisition Company deposited 95% of its public subscription proceeds into an escrow account. It is permitted to use this money to:
The Authority suspects a person offering crypto assets of violating regulations and wants to examine the firm's computer systems, computer equipment and data traffic. Which of these does it have the power to access and inspect?
The minimum price movement for an MSCI India Index Futures (INR) contract is:
Within what maximum period following approval of the listing of a security must the Depository Centre install a terminal device giving the listing entity access to the register?
DFM brokerage firms are required to ensure that employees have appropriate professional experience if they:
If the mid-point is used to determine the theoretical auction price for a pre-closing session of the DFM, it is:
The role of the safe custodian in relation to exchange-traded funds (ETFs) is to:
An Authority resolution was passed by the Chairman alone. Why was this possible?
Under the DFM's Professional Code of Conduct, a broker must wait to publish verified information relating to the status of a market-listed entity until:
The DFM’s Professional Code of Conduct requires brokerage firms to take reasonable steps to determine the identity of their clients. For natural persons, this should include:
When a firm applies for a licence, it is only necessary to provide an exit strategy plan covering contract termination with an outsourced party if the firm intends to:
Customer due diligence measures require management approval if the natural person involved is:
A real estate investment fund may borrow no more than what percentage of its total assets value?
The DFM's Professional Code of Conduct requires brokerage firms to take reasonable steps to determine the identity of their clients. For corporate persons, this should include:
In order to deal in securities, what minimum level of paid-up capital must a firm have?
What is the maximum term of imprisonment that can be imposed on a person who attempts to commit the crime of money laundering?
The Authority will only grant a licence to operate a crypto fundraising platform in the UAE if the applicant is a legal person in the form of:
Membership of an Authority regulated market is obligatory for which of the following entities?
Where debt instruments are held by cash investment funds, the credit rating of these instruments must reach what minimum threshold?
When a company applies to become a Special Purpose Acquisition Company, its sponsors must prepare proposals to:
Following an IPO, within how many business days from the date of the registration certificate issued by the Authority must the Special Purpose Acquisition Company submit a request to the market to list the shares and warrants issued by it?
The conciliation process allows the Authority to impose what alternative to criminal prosecution?
A licensed body submitted a requested document to the Authority and a short time later noticed that it was incomplete. How soon must it notify the Authority of this issue?
The disclosure of a licensed body’s legal status, including the fact that it is licensed by the Authority, is important because:
Where an existing public company wants to issue further shares via a rights issue, this must be announced at least what minimum period before the start date of the subscription?
Which of the following conditions must an individual satisfy if they are to carry out an evaluation for an in-kind share transfer?
Which of the following acts is considered to constitute the crime of money laundering?
Which of the following is a sanction available to the Authority in the event of a violation of its provisions?
In cases where securities are bought and sold during the same trading session, the client must have in its cash account enough:
A key reason why the regulator applies financial promotion rules is to ensure that:
An obligor with a retail primary listing of Sukuk immediately notified the Authority when one of its board directors was replaced. Why was the obligor considered to be in breach of its continuing obligations?
Where a local investment fund is established by an entity licensed to conduct family investment management, what minimum proportion of the units must be owned by family members?
Designated non-financial businesses and professions are banned under the regulations from dealing with which type of organisation?
A fund manager is considering investing in medium-term bonds, commercial papers, and deposit certificates. Under the regulations, which of these can be held under a cash investment fund?
In what circumstances may representatives of a broker or employees of brokerage firms trade for their own accounts?
Firms providing investment management services must also provide periodic statements, unless:
Which of the following features of a previous order can be changed with the order remaining valid?
The watch list, which is monitored by an Authority-established committee, consists of which group of companies?
If the perpetrator of a money laundering crime is a repeat offender, what impact does this have on the minimum fine compared to a first offence?
Where a trust agreement is established in connection with a primary listing of Sukuk, a key function of this agreement is to ensure that:
Where the fund prospectus for an investment fund discloses the provision of in-kind shares, it must also state the:
In order to be authorised to deal in investments, which of the following professional roles would the Authority expect to see within the firm?
What additional rule applies to a venture capital fund once the value of its managed assets reaches AED 180 million?
Which of the following financial activities comes under the fifth category licence?
An applicant for a license from the Authority has submitted a feasibility study and work plan. What method will be used to evaluate this?
If a listed company faces accumulated losses of 50% or more of capital, what is required to happen?
TESTED 12 Oct 2026
