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CISI UAE Financial Rules and Regulations Sample Questions:

1. Where a financial analyst wants to conduct a personal transaction which relates to investment research being undertaken, what additional requirement is normally imposed?

A) Approval from the Authority or Central Bank
B) Approval from the firm's legal or compliance department
C) Signing of a guarantee undertaking
D) Signing of a non-conflict disclaimer

2. Customer due diligence measures require management approval if the natural person involved is:

A) registered as disabled
B) normally resident outside the State
C) under the age of 21
D) a politically exposed person

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

A) It transpires that the spouse of a board member is a director of that entity
B) A threat to the proper and regular working of that market arises
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

4. When establishing a local investment fund, how much are the founders required to subscribe?

A) At least 1 million dirhams
B) At least 5 million dirhams
C) At least 10 million dirhams
D) At least 20 million dirhams

5. When debt securities are offered through a public subscription, the offeror will be required to announce any replacement of the trustee:

A) immediately
B) within a maximum of 72 hours
C) after 5 working days
D) within a maximum of 48 hours

Solutions: