Try and practice the latest CISI : UAE-Financial-Rules-and-Regulations real questions & answers
Updated: Jul 08, 2026
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CISI UAE Financial Rules and Regulations Sample Questions:
1. When establishing a local investment fund, how much are the founders required to subscribe?
A) At least 5 million dirhams
B) At least 20 million dirhams
C) At least 10 million dirhams
D) At least 1 million dirhams
2. A public real estate investment fund must distribute at least what percentage of the achieved net profits every year, to the holders of its units?
A) 75%
B) 50%
C) 100%
D) 80%
3. 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) They were supported by just three other board members
B) Only the chairman held a tranche of the company's shares
C) They had been employed by the company during the previous year
D) Only the CEO's compensation had been approved by the Authority
4. If there is a material change in the nature of the relevant software, the regulations state that investors who have accepted an offer of crypto assets must be notified:
A) immediately after implementation
B) within no less than 7 days
C) within no less than 14 days
D) promptly in advance
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) can report confidentially to the regulator
B) is able to suspend operations in an emergency
C) has access to sufficient resources
D) can appoint a deputy during an unplanned absence
Solutions:
| Question # 1 Answer: C | Question # 2 Answer: D | Question # 3 Answer: C | Question # 4 Answer: D | Question # 5 Answer: C |
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