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CISI UAE Financial Rules and Regulations Sample Questions:

1. When collecting data from official authorities, evaluators of investment fund in-kind shares are required to abide by the principles of honesty, justice and:

A) equality
B) confidentiality
C) prudence
D) governance

2. Why might employees in one part of a regulated business be permitted to withhold information from employees in another part of the business?

A) Prevention of insider trading
B) Strict privacy of client information
C) To comply with a Chinese wall
D) At the request of the audit function

3. 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) Call an emergency Board meeting and thereafter notify the concerned entity at the Authority
C) Notify the concerned entity at the Authority or any of the capital market institutions immediately
D) Notify the concerned entity at the Authority or any of the capital market institutions within 5 working days

4. 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) 5%
B) 10%
C) 15%
D) 3%

5. The compliance regulation guide, submitted by an applicant for a license from the Authority, must set out procedures and mechanisms which will ensure that the compliance officer:

A) has access to sufficient resources
B) is able to suspend operations in an emergency
C) can report confidentially to the regulator
D) can appoint a deputy during an unplanned absence

Solutions: