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

CISI UAE Financial Rules and Regulations Sample Questions:

1. 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 the right to obtain all the necessary information
C) The Sukuk holders receive a guaranteed level of income
D) The trustees have a contractual relationship with the regulator

2. The watch list, which is monitored by an Authority-established committee, consists of which group of companies?

A) Companies in the second category
B) Companies in the first category
C) All private companies which have declared losses in the last 12 months
D) All public companies which have declared losses in the last 12 months

3. What happens to a day order to sell on the DFM if it is not executed by the end of that day?

A) The trader can choose to cancel it or hold it over until the next trading session
B) The seller can choose to cancel it or hold it over until the next trading session
C) It automatically expires
D) It is automatically held over

4. In which of the following circumstances is a brokerage company, which is both a trading and clearing member, allowed to freeze a client's securities?

A) The client no longer has a permanent residence inside the State
B) The action is taken in accordance with the market procedures
C) The company has reasonable grounds to suspect money laundering
D) The client's account has been inactive for over two years

5. Where a client is a legal person, the customer due diligence obligations require verification of identity for any natural persons holding what minimum controlling ownership interest?

A) 51%
B) 3%
C) 25%
D) 10%

Solutions: