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CISI Regional Regulation Certification
CISI QFMA Regulations Exam Preparation
Structured preparation for the QFMA regulatory examination, covering all six elements of the latest official syllabus reviewed in 2026.
200 Unique Questions · 5 Mocks × 50 Detailed Study Notes Realistic mock exams
Course syllabus information reviewed for 2026. Always check the awarding body’s latest official syllabus and candidate updates before booking or sitting your exam.
Exactly what is included
- 5 mock exams × 50 questions · 200 unique questions · 250 total question slots · unlimited retakes
- Focus Learn · key areas, pitfalls, exam traps & key numbers
- Flashcards · fun, fast and effective recall
- Exam cheat sheet · key facts, rules and numbers by chapter
- Audio Learning · every chapter in audio
- AI Analyzer & Mentor · pinpoints your weak areas
- Study Mode Exams · learn while you train
- AI Chat trained specifically for this exam
- Community-polished data, improved every day
- Up-to-date, accuracy-checked content
AI Audio Summaries New
Listen to course modules on the go. Perfect for studying while driving or commuting.
🎧 Audio
* This is a chapter sample. All audio is available in the full version.
Syllabus
Module 1: Licensed Activities 16% syllabus weight
🎧 Audio
Licensing conditions and procedures, approved persons, regulated functions, approval and the international regulatory environment. Approximately 8 of 50 scored questions.
- • Licensing conditions
- • Approved persons and regulated functions
- • Approval and regulatory environment
Module 2: Conduct of Business 16% syllabus weight
Codes of conduct, client relationships and the fundamental principles for approved individuals. Approximately 8 of 50 scored questions.
- • Codes of conduct
- • Client relationships
- • Approved-individual principles
Module 3: Information Requirements 14% syllabus weight
Reports and records, company information for clients and information clients provide to companies. Approximately 7 of 50 scored questions.
- • Reports and records
- • Company-to-client information
- • Client-to-company information
Module 4: Internal Controls 22% syllabus weight
Compliance responsibility, allocation of duties, resources, monitoring, risk management, personal dealing and compliance risk. Approximately 11 of 50 scored questions.
- • Compliance officer and responsibilities
- • Monitoring and risk management
- • Personal dealing and compliance risk
Module 5: Managing the Risk of Financial Crime 10% syllabus weight
AML/CFT responsibilities, risk-based controls, customer due diligence, reporting and governance. Approximately 5 of 50 scored questions.
- • AML/CFT framework
- • Risk-based controls
- • Due diligence and reporting
Module 6: Business Development 22% syllabus weight
Branches and agents, custodians, outsourcing, international expansion and licence suspension, modification or cancellation. Approximately 11 of 50 scored questions.
- • Branches, agents and custodians
- • Outsourcing and international expansion
- • Licence changes and cancellation
Interactive preview
Free CISI Qatar Financial Markets Authority Regulations Practice Questions & Exam Preview
Try 15 CISI Qatar Financial Markets Authority Regulations practice questions from Element 4: Internal Controls
Practice CISI Qatar Financial Markets Authority Regulations exam questions with answers and explanations. The full course includes 5 mock exams and complete syllabus coverage.
Exam Preview
Element 4: Internal Controls
Which task belongs to the compliance officer?
1 / 15
Flashcards
Card 1 of 10Licensed Activities
Question
What should a QFMA Regulations candidate know about Licensed activities?
Tap to reveal answer
Focus Learn
- QFMA-supervised activities
- Licence conditions and application documents
- Decision, appeal and resubmission periods
- Approved persons and regulated-function categories
- AML/CFT employee screening
- Rules- and principles-based regulation
- RIE, MTF and systematic-internaliser distinctions
Chapter 1: Licensed Activities
The QFMA regulates the securities market in Qatar, including public issuance and investor trading. A licence is required for activities such as executing securities orders for others, own-account dealing, organising securities trading, providing or arranging custody, securities advice, investment management, investment trusteeship, underwriting and securities-issuance management. A financial services company is the licensed entity; a representative acts for it in name and responsibility, while an agent acts for payment without being an employee or owner.
Only a Qatari company may normally be licensed, and it must conduct only one or more QFMA-regulated financial services. The application conditions address management history, experience, legal proceedings, minimum paid-up capital, guarant…
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Preparation Package at a Glance
| Feature | Exams Academy | Details |
|---|---|---|
| Access Period | Lifetime Access | One-time enrollment with no recurring fee |
| Practice Exams | Unlimited Retakes | |
| Study Support | Instant 24/7 AI Tutor | Self-service AI support; live instructor support is not included |
| Cost | $151 (One-Time) | One-time payment with no recurring subscription |
Frequently Asked Questions
The examination has 50 scored multiple-choice questions and lasts 60 minutes. Computer-based sittings may contain up to 10% additional trial questions, with proportionately more time.
CISI publishes a 70% pass mark, equivalent to 35 correct answers from the 50 scored questions.
No. Qatar Financial Markets Authority Regulations and Qatar Financial Centre Rules and Regulations are separate regulatory examinations with different institutional and rulebook scopes.
Not by itself. CISI describes the Qatar licensing programme as a preparatory exam, the QFMA regulatory exam and a role-based elective. Confirm the exact route required for your job function.
CISI lists QFMA Regulations as a regulatory unit that can be used in the Investment Operations Certificate or a CISI Certificate programme, subject to the current combination requirements.
Yes. The course includes six detailed chapter summaries, 122 flashcards, 96 searchable rule cards, five weighted 50-question mock exams and the QFMA-focused AI tutor.
Yes! Test your knowledge and review detailed explanations with the free CISI Qatar Financial Markets Authority Regulations Mock Exam Preview below. It contains 15 exam-style questions from one named topic; the full course provides complete mock exams and syllabus coverage.
Key Benefits
QFMA licensing context
Understand where the regulatory examination sits beside the preparatory and role-based elective modules in the Qatar licensing programme.
- ✓ Preparatory, regulatory and elective route
- ✓ Role-specific qualification paths
- ✓ QFMA versus QFC scope
Control framework
Connect licensed activities and conduct requirements with reporting, compliance, risk management and internal controls.
- ✓ Licensing and approved persons
- ✓ Client and information requirements
- ✓ Compliance and risk controls
Weighted exam plan
Allocate revision across all six elements while prioritising the two 11-question areas.
- ✓ 50-question specification
- ✓ Internal controls
- ✓ Business development
Exam Format & Details
| Assessment | Computer-based multiple-choice examination |
| Duration | 60 Minutes |
| Standard Pass Mark | 70% |
| Level | CISI Level 3 |
| Total Qualification Time | 80 hours |
Prepare for the Qatar Financial Markets Authority Regulations examination across licensed activities, conduct of business, information requirements, internal controls, financial crime and business development. The learning backend covers all six syllabus elements through detailed summaries, searchable rule cards, flashcards, five weighted mock exams and a source-grounded AI tutor. This is the QFMA regulatory unit and is separate from Qatar Financial Centre Rules and Regulations.
Who Is This For?
✓ Professionals whose Qatar role requires the QFMA regulatory examination
✓ Candidates using QFMA Regulations as an IOC or CISI Certificate regulatory unit
✓ Advisory, brokerage, operations, compliance, risk, audit and investment staff in the QFMA licensing programme
✓ Candidates who need to keep QFMA and QFC regulatory scopes separate
Preparation centre
CISI Qatar Financial Markets Authority Regulations Exam Guides
Use these connected guides for the syllabus, exam format, booking and revision strategy.
CISI Qatar Financial Markets Authority Regulations
Course Features
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CISI Qatar Financial Markets Authority Regulations
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