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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:

Section	Objectives
Topic 1: UAE Financial Regulatory Framework	- Securities and investment regulation 1. Regulation of securities markets in the UAE 2. Market conduct and compliance requirements - Federal financial regulation structure 1. Overview of UAE financial governance bodies 2. Roles of central financial authorities
Topic 2: Regulatory Ethics and Professional Standards	- Regulatory accountability 1. Responsibilities of financial professionals 2. Regulatory reporting obligations - Ethical standards in financial services 1. Conflicts of interest management 2. Professional integrity expectations
Topic 3: Anti-Money Laundering and Financial Crime	- AML/CFT requirements in the UAE 1. Suspicious transaction reporting 2. Customer due diligence (CDD) and KYC - Financial crime prevention 1. Sanctions compliance obligations 2. Fraud prevention controls
Topic 4: Financial Conduct and Compliance	- Compliance and supervision 1. Internal controls and governance 2. Compliance monitoring frameworks - Conduct of business standards 1. Fair dealing and market integrity principles 2. Client suitability and disclosure obligations

CISI UAE Financial Rules and Regulations Sample Questions:

Question #1

The whistleblowing policy submitted by an applicant for a financial activities licence must include a mechanism for:

A. ensuring all staff have a named reporting contact
B. disciplining staff proven to have breached rules
C. escalating any reports to board level
D. protecting the reporting employee

Reveal Solution Discussion 0

Correct Answer: D 🗳️