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

CISI UAE Financial Rules and Regulations Sample Questions:

1. In order to be authorised to deal in investments, which of the following professional roles would the Authority expect to see within the firm?

A) Broker Representative
B) Operations Manager
C) Compliance Officer
D) Trading Manager

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

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

3. Where a private equity fund is to be incorporated, the incorporation agreement must include a statement indicating:

A) whether the limited partners can influence investment management
B) who will be appointed auditor for the fund
C) who bears main responsibility for regulatory compliance
D) whether the investment management will be outsourced

4. Which of the following is a sanction available to the Authority in the event of a violation of its provisions?

A) Suspend any financial activity practised during an investigation
B) Impose a financial fine of not less than AED 100,000
C) Suspend the licensed body for a period of two years
D) Impose a financial fine of not more than AED 100,000

5. During an investigation, what should a licensed body do if it discovers that any of the submitted documents or information are incorrect, misleading or have been changed?

A) The Chair and Board of Directors should notify the Authority and tender their resignations
B) Notify the concerned entity at the Authority or any of the capital market institutions immediately
C) Notify the concerned entity at the Authority or any of the capital market institutions within 5 working days
D) Call an emergency Board meeting and thereafter notify the concerned entity at the Authority

Solutions: