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CISI UAE Financial Rules and Regulations Sample Questions:

1. Which of the following features of a previous order can be changed with the order remaining valid?

A) Order type
B) Share category
C) Volume
D) Market

2. Where a brokerage firm on the DFM has a client with a debit balance, the regulations prevent the firm from:

A) paying any cash to the client
B) providing investment advice to the client
C) accepting new orders from the client
D) selling securities on the client's behalf

3. What is the minimum fine that can be levied on a person found guilty of financing an illegal organisation?

A) AED 300,000
B) AED 250,000
C) AED 150,000
D) AED 200,000

4. Under what circumstances must licensed entities provide the Authority with copies of appropriateness reports issued to clients?

A) Only if requested by them to do so
B) Routinely on a monthly basis
C) Only if a complaint is made
D) Routinely on a quarterly basis

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

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

Solutions: