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CISI UAE Financial Rules and Regulations Sample Questions:

1. Each licence applicant must submit a risk management guide that includes:

A) the procedures and mechanisms required to enable the internal auditor to act independently
B) the procedures and mechanisms that ensure that the responsible officer shall have access to all records
C) the mechanisms required to enable the compliance officer to have access to sufficient resources
D) development and implementation of policies and procedures

2. A joint-stock company applying for a licence to conduct clearing activities in a commodity market recently appointed a new chairman and a new CEO. Why did this lead to the application being refused?

A) Only the chairman held a tranche of the company's shares
B) They were supported by just three other board members
C) They had been employed by the company during the previous year
D) Only the CEO's compensation had been approved by the Authority

3. 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

4. If an issuer provides its shareholders with bonus shares, then the CSD Department will deposit the bonus shares issued in the account and will register them as a whole, round number. What happens in the case that there are fractions of shares?

A) They are totalled up and put in a suspense account
B) The issuing company must sell them within 30 days
C) These are also added to the shareholder's account
D) The issuing company must sell them within 45 days

5. 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) Licensed brokers
C) Listed joint-stock companies, licensed brokers and any other type of business entity
D) Listed joint-stock companies and licensed brokers

Solutions: