UAE · Finance

Pass the UAE Financial Rules and Regulations exam

100 questions in 120 minutes, written from the Capital Market Authority rulebooks and the federal anti-money laundering laws. Every answer shows the article behind it.

  • AED 549 for 12 months. One payment, no subscription.
  • 711 practice questions
  • Mock exams: 100 questions in 120 minutes

Study the rules the exam tests

Practice for the UAE financial rules exam with original questions across 24 topics and 7 domains. Each key is backed by a quoted article of the law and every option is explained.

Full 100-question mock exams timed at 120 minutes

Questions across 24 topics: licensing, conduct of business, capital adequacy, investment funds, markets, anti-money laundering and sanctions

The quoted article behind every answer

An explanation for every option, right and wrong

Access for 12 months from purchase

Laws and texts

  • Federal Decree-Law No. (32) of 2025 on the Capital Market Authority
  • Federal Decree-Law No. (33) of 2025 on the Regulation of the Capital Market
  • CMA Rulebook, Section 2: The financial activities and jobs approval
  • CMA Rulebook, Section 3: Business practice
  • CMA Rulebook, Section 4: Capital adequacy
  • CMA Chairman Decision No. (11/Chairman) of 2026 amending the Rulebook
  • CMA Resolution No. (01/Chairman) of 2023 on the Regulation of Investment Funds
  • Federal Decree-Law No. (10) of 2025 on Anti-Money Laundering, Countering the Financing of Terrorism and Proliferation Financing
  • Cabinet Resolution No. (134) of 2025, Executive Regulations of Federal Decree-Law No. (10) of 2025
  • Cabinet Decision No. (74) of 2020 on Terrorism Lists and UN Security Council Resolutions

7 domains, the sources behind them

  • Authority and legal framework
  • Licensing and accredited persons
  • Conduct of business and client protection
  • Prudential regulation and resolution
  • Investment funds
  • Markets, disclosure and enforcement
  • Anti-money laundering, terrorist financing and sanctions

What the exam covers

24 topics in 7 domains, each practised with its own questions.

Authority and legal framework

2 topics
  • F01 The Capital Market Authority
  • F02 Scope, activities and accredited functions

Licensing and accredited persons

4 topics
  • F03 Licensing process and governance
  • F04 Licence categories and conditions
  • F05 Obligations of licensed bodies
  • F06 Accredited persons and licensing exams

Conduct of business and client protection

6 topics
  • F07 Client classification and agreements
  • F08 Client money and guarantees
  • F09 General conduct obligations
  • F10 Brokers and dealers
  • F11 Advisory and promotion
  • F12 Portfolio management and custody

Prudential regulation and resolution

2 topics
  • F13 Capital adequacy
  • F14 Oversight, resolution and protection funds

Investment funds

3 topics
  • F15 Establishing an investment fund
  • F16 Operating an investment fund
  • F17 Fund changes and winding up

Markets, disclosure and enforcement

3 topics
  • F18 Markets, clearing and depository
  • F19 Offering, listing and trading
  • F20 Disclosure, market abuse and enforcement

Anti-money laundering, terrorist financing and sanctions

4 topics
  • F21 Money laundering offences and authorities
  • F22 Due diligence and preventive measures
  • F23 Reporting, records and cooperation
  • F24 Targeted financial sanctions

How a mock exam works

  1. 100 questions drawn from every domain, 120 minutes on the clock.
  2. Your score appears as soon as you submit or the time runs out.
  3. Review every answer with its explanation and the quoted article.

12 months include

  • Know which rule decides each answer
  • Drill anti-money laundering and sanctions
  • Built on the laws in force

One price

  • AED 549 for 12 months. One payment, no subscription.
  • No subscription and no automatic renewal.
  • Sign in on any device with an email link or a 6-digit code
Get 12 months for AED 549

Questions

Who needs this exam?

Staff approved by the Capital Market Authority for roles such as broker representative, compliance officer, trading manager, financial analyst and portfolio manager sit the UAE Financial Rules and Regulations exam.

What is the exam format?

The exam has 100 questions and lasts 120 minutes, in English or Arabic. Our mocks use the same length and timing, in English.

Where do the answers come from?

From the published laws and rulebooks: the Capital Market Authority decree-laws, its rulebook sections and fund regulation, the federal anti-money laundering law with its executive regulations, and the sanctions decision. Each question quotes the article.

Are these the real exam questions?

No. Every question is original and written for practice. We never use recalled or leaked exam content.

How long do I have access?

12 months from purchase, on any device.

Start practising today

Take the free test first or get full access now.