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CISI UAE Financial Rules and Regulations Sample Questions:

1. The disclosure of a licensed body's legal status, including the fact that it is licensed by the Authority, is important because:

A) it enables those that might suffer from perceived or actual misbehaviour at the hands of a firm to raise their concerns with the regulator
B) it forces firms to disclose their regulatory status and that they are subject to the Authority's control and supervision
C) it allows third party firms to use, utilise, or copy the Authority's logo for any reason and this reassures clients
D) it ensures that no clients suffer from perceived or actual misbehaviour at the hands of a firm which is regulated

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

3. When establishing a local investment fund, how much are the founders required to subscribe?

A) At least 10 million dirhams
B) At least 1 million dirhams
C) At least 5 million dirhams
D) At least 20 million dirhams

4. An obligor with a retail primary listing of Sukuk immediately notified the Authority when one of its board directors was replaced. Why was the obligor considered to be in breach of its continuing obligations?

A) The new director held a foreign passport
B) The obligor failed to also notify the market
C) The obligor failed to give 14 days' notice
D) The new director had less than 5 years' experience

5. If a Special Purpose Acquisition Company fails to complete a business combination, measures to return the funds to investors must be taken within what maximum number of business days?

A) 15
B) 25
C) 20
D) 10

Solutions: