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

CISI UAE Financial Rules and Regulations Sample Questions:

1. The whistleblowing policy submitted by an applicant for a financial activities licence must include a mechanism for:

A) ensuring all staff have a named reporting contact
B) disciplining staff proven to have breached rules
C) protecting the reporting employee
D) escalating any reports to board level

2. If an offering person arranges the issuance of crypto assets for which funds have been subscribed by investors, controls must be set up to avoid:

A) subscriptions being taken at different threshold levels
B) prices being determined at the discretion of the issuer
C) subscriptions being taken at excessive levels from non-qualified investors
D) prices being allowed to fluctuate during the opening offer period

3. The role of the authorised agent of the exchange-traded fund (ETF) is to:

A) ensure that the transfer of ownership of units is completed
B) update sell and buy orders
C) announce the net value of the unit's assets on a daily basis
D) regularly announce the indicative value of the net value of assets

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

5. An obligor with a retail primary listing of Sukuk immediately notified the Authority when one of its board directors was replaced. Why was the obligor considered to be in breach of its continuing obligations?

A) The new director had less than 5 years' experience
B) The obligor failed to also notify the market
C) The new director held a foreign passport
D) The obligor failed to give 14 days' notice

Solutions: