CISI UAE-Financial-Rules-and-Regulations

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

CISI UAE Financial Rules and Regulations Sample Questions:

Question #1
A joint-stock company applying for a licence to conduct clearing activities in a commodity market recently appointed a new chairman and a new CEO. Why did this lead to the application being refused?

A. Only the CEO's compensation had been approved by the Authority
B. Only the chairman held a tranche of the company's shares
C. They were supported by just three other board members
D. They had been employed by the company during the previous year

Question #2
Firms providing investment management services must also provide periodic statements, unless:

A. Investments are higher-risk securities
B. The client requests not to receive them
C. They are provided by another party
D. The client's portfolio is leveraged

Question #3
A brokerage firm's records include client agreements, selling orders and accounts. Under the Professional Code of Conduct, which of these does the DFM have the right to access and review?

A. Client agreements and selling orders only
B. Selling orders and accounts only
C. Accounts and client agreements only
D. Client agreements, selling orders and accounts

Question #4
If the mid-point is used to determine the theoretical auction price for a pre-closing session of the DFM, it is:

A. rounded up to the nearest price tick
B. rounded down to the nearest price tick
C. rounded to one decimal place
D. rounded to two decimal places

Question #5
The Board of a securities market wished to suspend a rule relating to the operations of that market, why was it unable to do so?

A. A 30-day notice was not provided
B. An Authority penalty was pending
C. The majority of the board was not present
D. It failed to seek permission from the Authority

Solutions: