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CISI UAE Financial Rules and Regulations Sample Questions:

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

2. The compliance regulation guide, submitted by an applicant for a license from the Authority, must set out procedures and mechanisms which will ensure that the compliance officer:

A) has access to sufficient resources
B) can report confidentially to the regulator
C) is able to suspend operations in an emergency
D) can appoint a deputy during an unplanned absence

3. If an issuer provides its shareholders with bonus shares, then the CSD Department will deposit the bonus shares issued in the account and will register them as a whole, round number. What happens in the case that there are fractions of shares?

A) The issuing company must sell them within 30 days
B) They are totalled up and put in a suspense account
C) The issuing company must sell them within 45 days
D) These are also added to the shareholder's account

4. The minimum paid-up capital requirement for ranking and advice firms is:

A) AED 50 million
B) none
C) AED 5 million
D) AED 30 million

5. If an error in the final cash settlement price of an equity index comes to the attention of the Exchange more than 30 minutes after the publication of the final cash settlement price, what happens?

A) Liability is apportioned
B) The provider will correct it
C) It will be re-determined
D) No correction will be made

Solutions: