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

CISI UAE Financial Rules and Regulations Sample Questions:

1. Following an IPO, within how many business days from the date of the registration certificate issued by the Authority must the Special Purpose Acquisition Company submit a request to the market to list the shares and warrants issued by it?

A) One
B) Three
C) Five
D) Two

2. One of the financial activities included within "dealing in investment" and expected to be conducted by a Financial Analyst is:

A) Managing a portfolio of securities
B) Securities dealing
C) Trading brokerage
D) Administrative services for investment funds

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. What rule applies to a foreign brokerage company applying for remote access to the ADX if it has previously been refused a licence by a regulator equivalent to the Authority?

A) The application will be reviewed by the board of the ADX
B) The company will only be granted limited privileges
C) The company will be required to provide additional collateral
D) The application will automatically be rejected

5. Where a financial analyst wants to conduct a personal transaction which relates to investment research being undertaken, what additional requirement is normally imposed?

A) Signing of a guarantee undertaking
B) Approval from the firm's legal or compliance department
C) Signing of a non-conflict disclaimer
D) Approval from the Authority or Central Bank

Solutions: