The United Arab Emirates Financial Rules and Regulations Exam

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CISI Exam Topics Covers:

The Regulatory Infrastructure
Federal Law No. 4 of 2000
Securities & Commodities Authority (SCA)
SCA Resolutions
Corporate Governance – (Law No. 3 issued Jan 2020)
Codes of Conduct
License categories and requirements (decision no.13/Chairman issued on 2021)
Accounting system controls (decision no.13/Chairman issued on 2021)
General provisions
Licensing financial activities
Requirements of capital market institutions
Provisions Specific to Certain Public Investment Funds
Cash Investment Funds
Exchange Traded Funds
Real Estate Funds
Evaluation of In-Kind Shares of Investment Funds (Decision No. (63/R.T) of 2019)
The Central Depository (Decision No. (19/R.M) of 2018)
Issuing and Offering Shares in Public Joint-Stock Companies
Procedures for Dealing with Listed Troubled Joint-Stock Companies (Decision No. (13) of 2020)
Debt Securities (Decision No. (17) of 2014)
Crypto Assets (Decision No. (23) of 2020)
Anti-Money Laundering and Combating the Financing of Terrorism
and Illegal Organisations (Federal Law No. 20 of 2018)
The Role of the Financial Services Industry
Politically Exposed Persons (PEPs)
Suspicious Transaction Reports (STRs)
Practical Measures
Record Keeping Requirements
Market Abuse and Market Conduct Accepted Practice in the UAE
Conflicts of Interest Accepted Practice in the UAE
Suitability Standards (Suitability and Appropriateness Standards (Decision No. (05/Chairman) of 2020))
Appropriateness Standards (Suitability and Appropriateness Standards (Decision No. (05/Chairman) of 2020))
Client Assets Accepted Practice in the UAE
Client Communications, Reporting, Financial Promotions and Advertising Accepted Practice in the UAE
The Organization of Promotion and Introduction (Decision No. (3/R.M) of 2017)
Regulations for Special Purpose Acquisition Companies (Resolution No. (01/Chairman) of 2022)
Abu Dhabi Securities Market ADX
Broker and Trading Rules of the ADX
Clearing, Depository and Registry Rules
Clearing Operations in Commodities Markets
Dubai Gold & Commodities Exchange
Dubai Financial Market (DFM)
Brokerage Firms
Rules of Securities Trading in the DFM
The Professional Code of Conduct (DFM)
Online Trading Regulations (DFM)

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