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

CISI UAE Financial Rules and Regulations Sample Questions:

Question 1

Unless otherwise agreed, a broker must submit to the client a statement of account that outlines the client's balance of securities and cash, and all transactions executed every:

A. 3 months
B. 12 months
C. 6 months
D. month

Question 2

A failure to report suspicions, or gross negligence in implementing processes and procedures in relation to suspicions of money laundering, can result in a fine of:

A. no less than AED 50,000 and no more than AED 1,000,000
B. no less than AED 100,000 and no more than AED 5,000,000
C. no less than AED 1,000,000 and no more than AED 10,000,000
D. no less than AED 100,000 and no more than AED 1,000,000

Question 3

The last trading day for an India Gold Quanto Futures contract is:

A. two business days prior to the last business day of the delivery month
B. four business days prior to the 25th calendar day of the delivery month
C. the 25th calendar day of the delivery month
D. one business day prior to the last business day of the delivery month

Question 4

Where a trust agreement is established in connection with a primary listing of Sukuk, a key function of this agreement is to ensure that:

A. The Sukuk holders do not suffer from any conflict of interest
B. The trustees have a contractual relationship with the regulator
C. The trustees have the right to obtain all the necessary information
D. The Sukuk holders receive a guaranteed level of income

Question 5

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 less than AED 100,000
B. Impose a financial fine of not more than AED 100,000
C. Suspend any financial activity practised during an investigation
D. Suspend the licensed body for a period of two years

Solutions: