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UAE-Financial-Rules-and-Regulations dumps questions answers

CISI UAE-Financial-Rules-and-Regulations Dumps

Exam Code:
UAE-Financial-Rules-and-Regulations
Exam Name:
CISI UAE Financial Rules and Regulations Exam
Last Update: Nov 29, 2025
100 Questions with Explanation
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UAE-Financial-Rules-and-Regulations FAQs

The exam is a professional qualification offered by the Chartered Institute for Securities & Investment (CISI). It tests your knowledge of the UAE’s financial services laws, regulations, and compliance standards. Passing it shows that you understand how financial firms and individuals should operate within the UAE’s legal framework.

This exam is mandatory for nearly all professionals working in the UAE's financial services sector whose roles are customer-facing or involve providing financial advice. This includes, but is not limited to, relationship managers, investment advisors, stockbrokers, and certain compliance officers. It's a regulatory requirement from the UAE's Securities and Commodities Authority (SCA) and is often required by the Central Bank of the UAE (CBUAE) for bank employees. So, while it's crucial for bankers, its reach extends to anyone in a licensed financial advisory role.

Start by getting the official CISI workbook—it's like your main guidebook with all the info. Watch free videos on YouTube for each chapter, and practice with sample questions from sites like Dumpspedia. Aim for about 100 hours of study, like reading a bit each day, and try mock tests to feel ready, just like practicing for a sports game.

The CISI is a globally recognized professional body. Successfully passing the UAE-specific exam allows you to use the ACSI (Associate) designatory letters, significantly boosting your professional credibility in the Middle East financial sector. It signals a formal commitment to the highest standards of knowledge and integrity.

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UAE-Financial-Rules-and-Regulations Last Week Results!

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Customers Passed
CISI UAE-Financial-Rules-and-Regulations

92%

Average Score In Real
Exam At Testing Centre

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Questions came word by
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CISI UAE Financial Rules and Regulations Exam Questions and Answers

Questions 1

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

Options:

A.

credit to cover the value of purchase

B.

credit to cover the value of sale

C.

credit to cover the value of any losses

D.

securities to the value of purchase

Questions 2

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?

Options:

A.

51%

B.

75%

C.

90%

D.

100%

Questions 3

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

Options:

A.

protecting the reporting employee

B.

escalating any reports to board level

C.

disciplining staff proven to have breached rules

D.

ensuring all staff have a named reporting contact

What our customers are saying

Peru
Blake Wilkinson
Nov 18, 2025

A truly essential resource for this regulatory qualification. I was struggling with the fine details of Corporate Governance and the operational aspects of the Dubai Financial Market (DFM), but these practice tests clarified everything. Purchased this practice test, put in the work, and got my passing score.

United Kingdom
Willie Mason
Oct 17, 2025

The Dumpspedia questions answers for the CISI UAE Financial Rules and Regulations Exam were a lifesaver. They thoroughly covered UAE securities regulations and compliance requirements. The format was user-friendly, and I passed confidently. Great resource!