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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: Regulatory Ethics and Professional Standards | - Ethical standards in financial services
|
| Topic 2: Financial Conduct and Compliance | - Conduct of business standards
|
| Topic 3: Anti-Money Laundering and Financial Crime | - Financial crime prevention
|
| Topic 4: UAE Financial Regulatory Framework | - Securities and investment regulation
|
CISI UAE Financial Rules and Regulations Sample Questions:
An Insiders Register should be prepared for securities issued by:
- A. The company, the parent company and its subsidiaries only
- B. The company and parent company only
- C. The company, the parent company, its subsidiaries or related companies
- D. The company concerned only
Correct Answer: C 🗳️
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Which of the following is a sanction available to the Authority in the event of a violation of its provisions?
- A. Impose a financial fine of not more than AED 100,000
- B. Suspend any financial activity practised during an investigation
- C. Suspend the licensed body for a period of two years
- D. Impose a financial fine of not less than AED 100,000
Correct Answer: D 🗳️
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A key reason why the regulator applies financial promotion rules is to ensure that:
- A. the impact of operational risk is avoided
- B. the available product range is maximised
- C. the customers are treated fairly
- D. the market is kept competitive
Correct Answer: C 🗳️
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The minimum price movement for an MSCI India Index Futures (INR) contract is:
- A. US$1.00
- B. 0.25 index points
- C. 0.5 index points
- D. US$0.01
Correct Answer: C 🗳️
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What rule applies to a foreign brokerage company applying for remote access to the ADX if it has previously been refused a licence by a regulator equivalent to the Authority?
- A. The application will automatically be rejected
- B. The company will only be granted limited privileges
- C. The company will be required to provide additional collateral
- D. The application will be reviewed by the board of the ADX
Correct Answer: A 🗳️
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