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

CISI UAE Financial Rules and Regulations Sample Questions:

1. Why would the Authority board resolve temporarily to halt trading in the shares of any company?

A) A written complaint is made relating to a market activity
B) It does not have the technical equipment necessary to conduct its activity electronically
C) It transpires that the spouse of a board member is a director of that entity
D) A threat to the proper and regular working of that market arises

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 100,000 and no more than AED 10,000,000 for each violation
B) A penalty of no less than AED 5,000 and no more than AED 1,000,000 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. The conciliation process allows the Authority to impose what alternative to criminal prosecution?

A) Negotiated out-of-court settlement
B) Payment of a prescribed amount of money
C) Referral to the Central Bank
D) Suspension of activities for a specified period

4. Where a client is a legal person, the customer due diligence obligations require verification of identity for any natural persons holding what minimum controlling ownership interest?

A) 3%
B) 10%
C) 51%
D) 25%

5. 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) prudence
B) confidentiality
C) equality
D) governance

Solutions: