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

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

2. In order to be authorised to deal in investments, which of the following professional roles would the Authority expect to see within the firm?

A) Trading Manager
B) Broker Representative
C) Compliance Officer
D) Operations Manager

3. The conciliation process allows the Authority to impose what alternative to criminal prosecution?

A) Suspension of activities for a specified period
B) Referral to the Central Bank
C) Payment of a prescribed amount of money
D) Negotiated out-of-court settlement

4. A licensed person who conducts financial activities related to security tokens is required to carry out a suitability check only if:

A) the client is not a qualified investor
B) the amount being invested exceeds AED 100,000
C) the token falls into the high risk category
D) the licensed person has less than 3 years' relevant experience

5. Where self-fund founders intend to accept in-kind shares, the fund prospectus must state whether these shares:

A) are to be valued subjectively
B) are consistent with the fund's investment strategy
C) may subsequently be disposed of
D) will be held as capital assets of the fund

Solutions: