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| Certification Vendor: | CISI |
|---|---|
| Exam Name: | UAE Financial Rules and Regulations |
| Exam Number: | UAE-RR |
| Passing Score: | 70% |
| Exam Format: | Multiple Choice |
| Real Exam Qty: | 100 |
| Available Languages: | English |
| Exam Duration: | 120 minutes |
| Sample Questions: | DOWNLOAD DEMO |
| Exam Way: | Computer Based Testing (CBT) |
| Official Syllabus URL: | https://www.cisi.org/go/uae-financial-rules-and-regulations |
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Dubai Financial Market (DFM) | 11% | |
| Topic 2: Investment Funds | 11% | - Provisions specific to certain public funds - The local fund |
| Topic 3: Client Protection | 10% | |
| Topic 4: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
| Topic 5: The Regulatory Infrastructure | 17% | - Federal Law No. 4 of 2000 - License categories and requirements (Decision No. 13/Chairman issued 2021) - Corporate Governance (Law No. 3 issued Jan 2020) - Securities & Commodities Authority (SCA) - Codes of Conduct - Accounting system controls (Decision No. 13/Chairman issued 2021) - SCA Resolutions |
| Topic 6: Markets | 11% | - General background - Disclosure and Transparency |
| Topic 7: Trading | 11% | |
| Topic 8: Licensed Bodies | 14% | - Licensing financial activities - Requirements of capital market institutions - General provisions |
The CISI UAE Financial Rules and Regulations exam contains 100 to complete within 120 minutes. Timed simulation in the PrepAwayETE Desktop Test Engine teaches that rhythm before exam day does.
Computer Based Testing (CBT) Register for the CISI UAE Financial Rules and Regulations exam through these official channels:
After booking, PrepAwayETE delivers your practice questions within 1 minute — preparation starts the same day.
PrepAwayETE issues a full refund if you take the CISI UAE Financial Rules and Regulations exam within 60 days of purchase and do not pass. The policy does not apply if the exam is taken within 3 days of purchase, if the exam was never actually taken, or to free materials or expired orders, and the candidate name must match the payer name. Submit a scan of your enrollment slip and the official Score Report PDF within 2 days of the exam; claims are processed within 7 days. Alternatively, exchange for two free exam products of equal value and keep your original update service. Orders arrive by email within 1 minute — contact support if nothing arrives within 2 hours.
The UAE-Financial-Rules-and-Regulations exam is a CISI certification exam validating the CISI UAE Financial Rules and Regulations syllabus shown above. It belongs to these credential paths: . Candidates in 2026 start with PrepAwayETE's 188 practice questions, available as a printable PDF, a Windows Desktop Test Engine, and an Online Test Engine — three versions of the same materials.
The official CISI UAE Financial Rules and Regulations outline defines 8 domains. The leading three are Licensed Bodies (14%), Trading (11%), and Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations (14%). The full list is in the topics section above, and PrepAwayETE's 188 practice questions cover each one.
The CISI UAE Financial Rules and Regulations exam welcomes candidates from different ages and fields; CISI sets any formal requirements. Verify the current rules on the official CISI exam page before registering.
CISI recommends these training resources for the CISI UAE Financial Rules and Regulations exam:
Follow the training with steady self-testing — the 188 practice questions from PrepAwayETE help you apply theory and fill any gaps the training leaves.
Scoring and fees are published by CISI and may change; verify the current figures on the official site.
Three versions of the same study materials: a printable, expert-prepared PDF with free demo download and instant access; a Desktop Test Engine for Windows with customizable simulation and timed modes that works offline; and an Online Test Engine for any browser on Windows, Mac, Android, and iOS with test history and performance review. All 188 practice questions are identical across versions. Every purchase includes 365 days of free updates, a 50% renewal discount afterward, and unlimited computer installations.
Which of the following conditions must an individual satisfy if they are to carry out an evaluation for an in- kind share transfer?
Correct Answer: D 🗳️
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The contract size for an MSCI India Index Futures (INR) contract is:
Correct Answer: B 🗳️
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Order cancellation can be carried out on the trading system. What happens if the order has already been traded?
Correct Answer: D 🗳️
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If an offering person arranges the issuance of crypto assets for which funds have been subscribed by investors, controls must be set up to avoid:
Correct Answer: C 🗳️
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Where a brokerage firm on the DFM has a client with a debit balance, the regulations prevent the firm from:
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