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CISI UAE Financial Rules and Regulations Sample Questions:

1. 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) 90%
B) 75%
C) 51%
D) 100%

2. Membership of an Authority regulated market is obligatory for which of the following entities?

A) Listed joint-stock companies, licensed brokers and other listed entities
B) Listed joint-stock companies and licensed brokers
C) Listed joint-stock companies, licensed brokers and any other type of business entity
D) Licensed brokers

3. In which circumstances might lawyers, notary publics, other legal stakeholders and independent legal auditors be exempt from suspicious transaction reporting requirements?

A) When conducting real estate transactions within the UAE
B) When providing legal opinion with regards to legal proceedings
C) When providing services relating to beneficiaries of insurance policies
D) When advising on financial transactions for politically exposed persons

4. During a trading session, if an order is not fully executed, then:

A) the remaining unexecuted volume stays on the trading system, at the last executed price
B) the order will be dealt with at the next trading session
C) the remaining unexecuted volume is cancelled and a new order is placed, at the last executed price
D) the transaction is executed at the price set on the other side of the transaction

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

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

Solutions: