Learn with CISI : UAE-Financial-Rules-and-Regulations training material for 100% pass
Updated: Jun 30, 2026
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CISI UAE Financial Rules and Regulations Sample Questions:
1. A fund manager is considering investing in medium-term bonds, commercial papers, and deposit certificates.
Under the regulations, which of these can be held under a cash investment fund?
A) Medium-term bonds and commercial papers only
B) Commercial papers and deposit certificates only
C) Medium-term bonds, commercial papers and deposit certificates
D) Deposit certificates and medium-term bonds only
2. If a Special Purpose Acquisition Company fails to complete a business combination, measures to return the funds to investors must be taken within what maximum number of business days?
A) 20
B) 15
C) 10
D) 25
3. If an error in the final cash settlement price of an equity index comes to the attention of the Exchange more than 30 minutes after the publication of the final cash settlement price, what happens?
A) It will be re-determined
B) Liability is apportioned
C) The provider will correct it
D) No correction will be made
4. An application submitted to the ADX by the brokerage company to enable it to supply E-Trading services will result in a decision to approve or reject the application within:
A) 2 days
B) 30 days
C) 10 days
D) 5 days
5. If an issuer provides its shareholders with bonus shares, then the CSD Department will deposit the bonus shares issued in the account and will register them as a whole, round number. What happens in the case that there are fractions of shares?
A) The issuing company must sell them within 45 days
B) They are totalled up and put in a suspense account
C) The issuing company must sell them within 30 days
D) These are also added to the shareholder's account
Solutions:
| Question # 1 Answer: B | Question # 2 Answer: A | Question # 3 Answer: D | Question # 4 Answer: D | Question # 5 Answer: B |
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