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CISI UAE Financial Rules and Regulations Sample Questions:

1. If a listed company faces accumulated losses of 50% or more of capital, what is required to happen?

A) Its shares are suspended for at least six months
B) It is moved from a first category listing to a second category of listing
C) It is required to be audited more frequently
D) It is moved from a second category listing to a first category of listing

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 15,000 and no more than AED 5,000,000 for each violation
B) A penalty of no less than AED 50,000 and no more than AED 5,000,000 for each violation
C) A penalty of no less than AED 5,000 and no more than AED 1,000,000 for each violation
D) A penalty of no less than AED 100,000 and no more than AED 10,000,000 for each violation

3. A brokerage firm's records include client agreements, selling orders and accounts. Under the Professional Code of Conduct, which of these does the DFM have the right to access and review?

A) Client agreements and selling orders only
B) Accounts and client agreements only
C) Selling orders and accounts only
D) Client agreements, selling orders and accounts

4. 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 new to the company or the industry
C) are employed to deal with clients or on their behalf
D) are on full-time or substantial part-time contracts

5. The conciliation process allows the Authority to impose what alternative to criminal prosecution?

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

Solutions: