CISI UAE Financial Rules and Regulations : UAE-Financial-Rules-and-Regulations

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CISI UAE Financial Rules and Regulations Sample Questions:

1. Unless otherwise agreed, a broker must submit to the client a statement of account that outlines the client's balance of securities and cash, and all transactions executed every:

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

2. Which of the following features of a previous order can be changed with the order remaining valid?

A) Market
B) Order type
C) Share category
D) Volume

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

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

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

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