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

CISI UAE Financial Rules and Regulations Sample Questions:

1. An applicant for a license from the Authority has submitted a feasibility study and work plan. What method will be used to evaluate this?

A) A stress testing exercise
B) Comparison with the same sector
C) SWOT analysis
D) An operational risk matrix

2. On the Dubai Gold & Commodities Exchange, how many delivery months are available for trading in Dubai India Quanto Crude Oil futures?

A) 18
B) 12
C) 2
D) 6

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

4. What is the minimum fine that can be levied on a person found guilty of financing an illegal organisation?

A) AED 200,000
B) AED 250,000
C) AED 150,000
D) AED 300,000

5. Establishing a local investment fund requires the approval of the Authority, for a public fund this will either be granted or rejected within:

A) 5 working days
B) 20 working days
C) 30 working days
D) 10 working days

Solutions: