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CISI UAE Financial Rules and Regulations Sample Questions:

1. A public joint-stock company is automatically prevented by the regulations from executing a buyback transaction if it:

A) is formally classed as an insurance company
B) was incorporated in the last three years
C) has been designated a company of State importance
D) issued shares in a public offer in the last six months

2. 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) Call an emergency Board meeting and thereafter notify the concerned entity at the Authority
B) Notify the concerned entity at the Authority or any of the capital market institutions immediately
C) Notify the concerned entity at the Authority or any of the capital market institutions within 5 working days
D) The Chair and Board of Directors should notify the Authority and tender their resignations

3. DFM brokerage firms are required to ensure that employees have appropriate professional experience if they:

A) are employed to operate an electronic trading or clearing system
B) are employed to deal with clients or on their behalf
C) are new to the company or the industry
D) are on full-time or substantial part-time contracts

4. 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) 3 months
B) month
C) 12 months
D) 6 months

5. Why would a transaction to purchase securities be declared null and void?

A) The individual is a former employee
B) It was the result of a rumour being spread
C) The investor has a conviction of an offence of dishonour
D) The Authority has levied a penalty for delay of payment

Solutions: