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CISI UAE Financial Rules and Regulations Sample Questions:

1. Anyone who notifies or warns a person in relation to suspicions, or reveals any transaction under review in relation to suspicions, is guilty of:

A) collusion
B) tipping off
C) layering
D) money laundering

2. Which of the following customer due diligence measures should be taken if a client is a foreign politically exposed person?

A) Conduct a prescribed risk / benefit analysis
B) Attempt to establish the source of the funds
C) Examine the latest Interpol watch list
D) Seek Authority approval to proceed

3. The statement in a suitability report giving reasons for the recommendation must also indicate:

A) why the next best product or service was disregarded
B) the client's ability to bear any risks and losses
C) whether or not the client has accepted this guidance
D) the extent to which the author is qualified to make this judgement

4. An applicant for a license from the Authority has submitted a feasibility study and work plan. What method will be used to evaluate this?

A) A stress testing exercise
B) An operational risk matrix
C) Comparison with the same sector
D) SWOT analysis

5. A brokerage firm's records include client agreements, selling orders and accounts. Under the Professional Code of Conduct, which of these does the DFM have the right to access and review?

A) Client agreements and selling orders only
B) Selling orders and accounts only
C) Accounts and client agreements only
D) Client agreements, selling orders and accounts

Solutions: