Quality study material is the IT industry's scarcest resource — most of what floats around is outdated or wrong. PassCollection takes the other road for the CISI UAE Financial Rules and Regulations exam: 188 practice questions for the UAE-Financial-Rules-and-Regulations exam, written to a strict standard of technical accuracy by certified experts.
CISI UAE-Financial-Rules-and-Regulations Exam Overview:
| Certification Vendor: | CISI |
|---|---|
| Exam Name: | UAE Financial Rules and Regulations |
| Exam Number: | UAE-RR |
| Exam Format: | Multiple Choice |
| Exam Duration: | 120 minutes |
| Real Exam Qty: | 100 |
| Available Languages: | English |
| Passing Score: | 70% |
| Sample Questions: |  |
| Exam Way: | Computer Based Testing (CBT) |
| Official Syllabus URL: | https://www.cisi.org/go/uae-financial-rules-and-regulations |
CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Licensed Bodies | 14% | - Licensing financial activities - Requirements of capital market institutions - General provisions |
| Topic 2: Investment Funds | 11% | - The local fund - Provisions specific to certain public funds |
| Topic 3: Markets | 11% | - Disclosure and Transparency - General background |
| Topic 4: Dubai Financial Market (DFM) | 11% | |
| Topic 5: Client Protection | 10% | |
| Topic 6: The Regulatory Infrastructure | 17% | - Corporate Governance (Law No. 3 issued Jan 2020) - Securities & Commodities Authority (SCA) - Federal Law No. 4 of 2000 - Accounting system controls (Decision No. 13/Chairman issued 2021) - SCA Resolutions - Codes of Conduct - License categories and requirements (Decision No. 13/Chairman issued 2021) |
| Topic 7: Trading | 11% | |
| Topic 8: Anti-Money Laundering and Combating the Financing of Terrorism and Illegal Organisations | 14% | - Federal Law No. 20 of 2018 |
The CISI UAE Financial Rules and Regulations Exam Questions Everyone Asks
The CISI UAE Financial Rules and Regulations exam gives you 120 minutes to work through 100 questions. Split that down and each question earns only a narrow slice of the clock — lingering too long on one item borrows time from three others. Build the habit now: run timed, full-length sessions in the PassCollection test engine until finishing early feels normal on the real UAE-Financial-Rules-and-Regulations exam.
The UAE-Financial-Rules-and-Regulations exam is CISI's official assessment leading to the Investment Operations Certificate (IOC) certification, which sits at the Intermediate level. It validates job-ready, vendor-recognized skills — the kind employers screen for. It also belongs to a wider certification family that includes , so it can anchor a longer credential roadmap.
Delivery takes about a minute: after payment, PassCollection emails your UAE-Financial-Rules-and-Regulations download instantly — if nothing arrives within 2 hours, check spam and contact support for an immediate resend. Install it on as many computers as you like. On failure: take the corresponding UAE-Financial-Rules-and-Regulations exam within 60 days of purchase, and a fail qualifies you for a full refund. File within 2 days after the exam with a scanned enrollment slip and the official Score Report PDF; claims close within 7 days. Excluded are attempts within 3 days of purchase, exams never actually taken, free materials, and expired orders — and the candidate name must match the payer name. Prefer to keep studying? On request we can exchange your product for two free exam products of equal value, and your original purchase keeps its update service.
The CISI UAE Financial Rules and Regulations syllabus divides into 8 domains, led by Licensed Bodies (14%), Client Protection (10%), Trading (11%). Heavier domains deserve heavier study time — the complete outline with every domain is listed above on this page.
Yes — a free demo is available for the CISI UAE Financial Rules and Regulations product, so you can review the question style and verified answers yourself first. After purchase, 365 days of free updates are included; once the year ends, the update service renews at a 50% discount from your member zone.
CISI UAE Financial Rules and Regulations Sample Questions:
Which of the following is one of the prescribed financial activities for which the Authority can issue a license?
- A. Corporate planning
- B. Promotion
- C. Risk management
- D. Analysis
Correct Answer: C 🗳️
Explanation: Only visible for PassCollection members. You can sign-up / login (it's free).
When a licensed firm refers a client complaint to another body, it must:
- A. Continue handling any part of the complaint that was not referred
- B. Suspend handling any part of the complaint that was not referred
- C. Advise the complainant that they have 30 days to appeal this action
- D. Notify the complainant by telephone or email
Correct Answer: A 🗳️
Explanation: Only visible for PassCollection members. You can sign-up / login (it's free).
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?
- A. It is doubled
- B. It is quadrupled
- C. It is increased by 50%
- D. It is tripled
Correct Answer: A 🗳️
Explanation: Only visible for PassCollection members. You can sign-up / login (it's free).
Which of the following is an administrative penalty that can be imposed on financial institutions that violate the law and regulations in relation to money laundering and terrorism financing?
- A. A penalty of no less than AED 5,000 and no more than AED 1,000,000 for each violation
- B. A penalty of no less than AED 50,000 and no more than AED 5,000,000 for each violation
- C. A penalty of no less than AED 15,000 and no more than AED 5,000,000 for each violation
- D. A penalty of no less than AED 100,000 and no more than AED 10,000,000 for each violation
Correct Answer: B 🗳️
Explanation: Only visible for PassCollection members. You can sign-up / login (it's free).
How long must licence applicants keep back-up copies of records?
- A. For as long as the firm is in existence
- B. For as long as each client chooses
- C. Not less than ten years
- D. Not less than five years
Correct Answer: C 🗳️
Explanation: Only visible for PassCollection members. You can sign-up / login (it's free).
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