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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:

CISI UAE Financial Rules and Regulations Sample Questions:

Question 1

Why would the Authority board resolve temporarily to halt trading in the shares of any company?

A. A threat to the proper and regular working of that market arises
B. It transpires that the spouse of a board member is a director of that entity
C. It does not have the technical equipment necessary to conduct its activity electronically
D. A written complaint is made relating to a market activity

Question 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?

A. 51%
B. 90%
C. 100%
D. 75%

Question 3

An introducer approved by the Authority is obliged to obtain further approval before:

A. Asking clients to provide new business referrals
B. Receiving any commission payments
C. Conducting any introduction business outside the UAE
D. Approaching legal entities to arrange an introduction

Question 4

A brokerage firm's records include client agreements, selling orders and accounts. Under the Professional Code of Conduct, which of these does the DFM have the right to access and review?

A. Selling orders and accounts only
B. Accounts and client agreements only
C. Client agreements and selling orders only
D. Client agreements, selling orders and accounts

Question 5

As part of its obligations under the Authority regulations, a commodities CCP carries out periodic back tests.
Why are these tests required?

A. To avoid the need for regular stress testing
B. To ensure stress-test scenarios are adequate
C. To establish the extreme limits of default-fund tolerance
D. To find the correct level of default-fund contributions

Solutions: