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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: Regulatory Ethics and Professional Standards | - Regulatory accountability
|
| Topic 2: Anti-Money Laundering and Financial Crime | - Financial crime prevention
|
| Topic 3: Financial Conduct and Compliance | - Conduct of business standards
|
| Topic 4: UAE Financial Regulatory Framework | - Federal financial regulation structure
|
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) layering
C) money laundering
D) tipping off
2. When collecting data from official authorities, evaluators of investment fund in-kind shares are required to abide by the principles of honesty, justice and:
A) confidentiality
B) equality
C) prudence
D) governance
3. The market must provide an electronic trading system which ensures:
A) The ability to manually stop purchase orders which exceed the limits of the broker's bank guarantee or reach the limit of a special order
B) Privacy to enable all companies and entities whose securities are listed in the market, and their registrars, to keep the information secret
C) The automatic stopping of purchase orders which exceed the limits of the broker's bank guarantee or reach the limit of a special order
D) Provision of trading accounts that can be opened in the names of two or more investors without the requirement for Authority approval
4. Where an existing public company wants to issue further shares via a rights issue, this must be announced at least what minimum period before the start date of the subscription?
A) 56 calendar days
B) 28 calendar days
C) 20 business days
D) 40 business days
5. Unless otherwise agreed, a broker must submit to the client a statement of account that outlines the client's balance of securities and cash, and all transactions executed every:
A) 6 months
B) 12 months
C) month
D) 3 months
Solutions:
| Question # 1 Answer: D | Question # 2 Answer: A | Question # 3 Answer: C | Question # 4 Answer: C | Question # 5 Answer: C |
