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

CISI UAE Financial Rules and Regulations Sample Questions:

1. Establishing a local investment fund requires the approval of the Authority, for a public fund this will either be granted or rejected within:

A) 10 working days
B) 30 working days
C) 5 working days
D) 20 working days

2. Under what circumstances, if any, is an introducer allowed to provide an investor with financial analysis?

A) Only if no recommendations are made
B) Only if it is licensed to do so
C) Only if the client proactively requests one
D) Under no circumstances

3. The DFM's Professional Code of Conduct requires brokerage firms to take reasonable steps to determine the identity of their clients. For natural persons, this should include:

A) profession, exact address, PO Box and phone number
B) full name of portfolio manager
C) commercial register number and commercial licence
D) nature of the entity, its legal form, type and capital

4. To qualify as a big block deal on the ADX's E-Trading system, the securities to be traded must be a minimum of what proportion of the issuer's capital?

A) 1.0%
B) 2.0%
C) 0.5%
D) 2.5%

5. The whistleblowing policy submitted by an applicant for a financial activities licence must include a mechanism for:

A) protecting the reporting employee
B) disciplining staff proven to have breached rules
C) ensuring all staff have a named reporting contact
D) escalating any reports to board level

Solutions: