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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:

CISI UAE Financial Rules and Regulations Sample Questions:

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

Question 2

Where an applicant for a financial activities licence uses a cloud-based server, they must set out provisions to ensure the outsourced party can operate with zero data loss for what stated period?

A. Ten years
B. Three years
C. Five years
D. Seven years

Question 3

What additional provision is made by the market in relation to trading in shares of public joint-stock companies that are in the second category of listing?

A. They can be bought and sold only by qualified investors
B. They will appear on a separate dedicated screen
C. Deals can take place only on specified dates
D. Deals are subject to an additional transaction levy

Question 4

Firms providing investment management services must provide periodic statements to retail clients, in normal circumstances at least every:

A. 3 months
B. month
C. 6 months
D. 12 months

Question 5

Where a brokerage firm on the DFM has a client with a debit balance, the regulations prevent the firm from:

A. providing investment advice to the client
B. paying any cash to the client
C. accepting new orders from the client
D. selling securities on the client's behalf

Solutions: