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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: Financial Conduct and Compliance | - Conduct of business standards
|
| Topic 2: Anti-Money Laundering and Financial Crime | - Financial crime prevention
|
| Topic 3: Regulatory Ethics and Professional Standards | - Ethical standards in financial services
|
| Topic 4: UAE Financial Regulatory Framework | - Federal financial regulation structure
|
CISI UAE Financial Rules and Regulations Sample Questions:
What are brokerage firms able to do during the closing session?
- A. Make enquiries
- B. Enter new orders
- C. Adjust orders
- D. Cancel orders
Explanation: Only visible for PrepAwayETE members. You can sign-up / login (it's free).
Where an existing public company wants to issue further shares via a rights issue, this must be announced at least what minimum period before the start date of the subscription?
- A. 20 business days
- B. 40 business days
- C. 56 calendar days
- D. 28 calendar days
Explanation: Only visible for PrepAwayETE members. You can sign-up / login (it's free).
Brokers have a number of obligations in relation to client orders, including:
- A. Ensuring a buy order is processed before the client has paid
- B. Reselling or repurchasing securities where orders breach regulations
- C. Processing all sell orders on a short-selling basis
- D. Avoiding conflicts when the firm has an interest in a transaction
Explanation: Only visible for PrepAwayETE members. You can sign-up / login (it's free).
Why would the Authority board resolve temporarily to halt trading in the shares of any company?
- A. It transpires that the spouse of a board member is a director of that entity
- B. It does not have the technical equipment necessary to conduct its activity electronically
- C. A written complaint is made relating to a market activity
- D. A threat to the proper and regular working of that market arises
Explanation: Only visible for PrepAwayETE members. You can sign-up / login (it's free).
The effectiveness of a financial institution's internal policies, controls and procedures to combat money laundering must be tested by:
- A. external consultants
- B. the audit committee
- C. regular operational resilience exercises
- D. an independent audit function
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