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CISI UAE Financial Rules and Regulations Sample Questions:

1. The whistleblowing policy submitted by an applicant for a financial activities licence must include a mechanism for:

A) protecting the reporting employee
B) ensuring all staff have a named reporting contact
C) escalating any reports to board level
D) disciplining staff proven to have breached rules

2. The approved job for conducting securities dealing is:

A) Broker Representative
B) Operations Manager
C) Trading Manager
D) Category Manager

3. A fund manager is considering investing in medium-term bonds, commercial papers, and deposit certificates.
Under the regulations, which of these can be held under a cash investment fund?

A) Commercial papers and deposit certificates only
B) Deposit certificates and medium-term bonds only
C) Medium-term bonds and commercial papers only
D) Medium-term bonds, commercial papers and deposit certificates

4. 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

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) 20
B) 15
C) 10
D) 25

Solutions: