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CISI UAE Financial Rules and Regulations Sample Questions:

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

2. Customer due diligence measures require management approval if the natural person involved is:

A) normally resident outside the State
B) registered as disabled
C) under the age of 21
D) a politically exposed person

3. The Depository Centre must periodically report to the Authority on shareholders who hold more than what threshold percentage of equity in the Centre's capital?

A) 3%
B) 5%
C) 15%
D) 10%

4. 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

5. Why would a transaction to purchase securities be declared null and void?

A) The Authority has levied a penalty for delay of payment
B) The individual is a former employee
C) The investor has a conviction of an offence of dishonour
D) It was the result of a rumour being spread

Solutions: