CISI UAE Financial Rules and Regulations : UAE-Financial-Rules-and-Regulations

  • Exam Code: UAE-Financial-Rules-and-Regulations
  • Exam Name: CISI UAE Financial Rules and Regulations Exam
  • Updated: Jun 16, 2026
  • Q & A: 102 Questions and Answers

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CISI UAE Financial Rules and Regulations Sample Questions:

1. The minimum paid-up capital requirement for ranking and advice firms is:

A) AED 50 million
B) AED 5 million
C) AED 30 million
D) none


2. When collecting data from official authorities, evaluators of investment fund in-kind shares are required to abide by the principles of honesty, justice and:

A) equality
B) confidentiality
C) governance
D) prudence


3. An applicant for a license from the Authority has submitted a feasibility study and work plan. What method will be used to evaluate this?

A) A stress testing exercise
B) SWOT analysis
C) Comparison with the same sector
D) An operational risk matrix


4. Which of the following acts is considered to constitute the crime of money laundering?

A) Acquiring, possessing or using proceeds from an unverified source
B) Investigating or checking on the true nature, source or location of proceeds as well as the method involving their ownership
C) Investigating internal reports where concerns of illegal activities are raised by staff
D) Transferring or moving proceeds or conducting any transaction with the aim of highlighting or opening their source to scrutiny


5. In cases where securities are bought and sold during the same trading session, the client must have in its cash account enough:

A) securities to the value of purchase
B) credit to cover the value of any losses
C) credit to cover the value of sale
D) credit to cover the value of purchase


Solutions:

Question # 1
Answer: B
Question # 2
Answer: B
Question # 3
Answer: B
Question # 4
Answer: A
Question # 5
Answer: D

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