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CISI UAE Financial Rules and Regulations Sample Questions:

1. Which of the following financial activities comes under the fifth category licence?

A) Dealing in investments
B) Dealing in securities
C) Arrangement and advice
D) Credit rating agencies

2. In order for the contents of a financial promotion which quotes yield figures to satisfy the clear, fair, and not misleading rule, it should:

A) always assume the communication is intended for a retail client
B) ensure all monetary examples are calculated to at least two decimal places
C) make the promotion available simultaneously in printed form and online
D) give a balanced impression of both short and long term prospects

3. An application submitted to the ADX by the brokerage company to enable it to supply E-Trading services will result in a decision to approve or reject the application within:

A) 30 days
B) 10 days
C) 5 days
D) 2 days

4. An error was made by a broker which led to a trade being conducted using the wrong trading account number.
If the trader submitted a request to have the number amended 40 minutes after the end of the trading session, the amendment would only be made if:

A) an alteration fee is paid at the same time
B) an impact assessment gives acceptable results
C) the correction is within a 5% error margin
D) the circumstances are considered to be exceptional

5. Which of the following is an administrative penalty that can be imposed on financial institutions that violate the law and regulations in relation to money laundering and terrorism financing?

A) A penalty of no less than AED 100,000 and no more than AED 10,000,000 for each violation
B) A penalty of no less than AED 15,000 and no more than AED 5,000,000 for each violation
C) A penalty of no less than AED 50,000 and no more than AED 5,000,000 for each violation
D) A penalty of no less than AED 5,000 and no more than AED 1,000,000 for each violation

Solutions: