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CISI UAE Financial Rules and Regulations Sample Questions:

1. For all local funds, a semi-annual report on the public fund's performance must be prepared no later than:

A) 2 months from the end of the financial year
B) 45 days from the end of the semi-annual period
C) 30 days from the end of the financial year
D) 2 months from the end of the semi-annual period

2. 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 5,000 and no more than AED 1,000,000 for each violation
B) A penalty of no less than AED 100,000 and no more than AED 10,000,000 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 15,000 and no more than AED 5,000,000 for each violation

3. Under what circumstances, if any, is an introducer allowed to provide an investor with financial analysis?

A) Only if no recommendations are made
B) Under no circumstances
C) Only if it is licensed to do so
D) Only if the client proactively requests one

4. During a trading session, if an order is not fully executed, then:

A) the order will be dealt with at the next trading session
B) the remaining unexecuted volume is cancelled and a new order is placed, at the last executed price
C) the transaction is executed at the price set on the other side of the transaction
D) the remaining unexecuted volume stays on the trading system, at the last executed price

5. The Depository Centre must periodically report to the Authority on shareholders who hold more than what threshold percentage of equity in the Centre's capital?

A) 3%
B) 10%
C) 15%
D) 5%

Solutions: