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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Anti-Money Laundering and Financial Crime | - AML/CFT requirements in the UAE
|
| Regulatory Ethics and Professional Standards | - Ethical standards in financial services
|
| Financial Conduct and Compliance | - Compliance and supervision
|
| UAE Financial Regulatory Framework | - Federal financial regulation structure
|
CISI UAE Financial Rules and Regulations Sample Questions:
1. What action will the CSD Department take shortly after uploading a shareholders' register onto the ADX's electronic systems?
A) Issue e-registration slips to all the shareholders
B) Place a back-up copy off-site for disaster-recovery purposes
C) Notify the Authority that this process has been completed
D) Send a copy of the e-register to the issuer for reconciliation purposes
2. If an error in the final cash settlement price of an equity index comes to the attention of the Exchange more than 30 minutes after the publication of the final cash settlement price, what happens?
A) It will be re-determined
B) No correction will be made
C) Liability is apportioned
D) The provider will correct it
3. Omar and Rashid are Authority board members and the appointment period for both of them is about to expire. Why can only Omar's appointment be renewed?
A) Omar has served one term whereas Rashid has served two terms
B) Omar holds relevant securities whereas Rashid does not
C) Omar is aged 71 whereas Rashid is aged 76
D) Omar is remunerated for his services whereas Rashid is not
4. If the listing of a debt security is suspended for more than six months, what action is the Authority entitled to take?
A) Cancel the listing
B) Demand an immediate recovery plan from the issuer
C) Place the listing on an at-risk register
D) Levy a fine against the issuer
5. If title to units in a private investment fund is transferred to a professional investor, the minimum nominal value of these units must equate to at least:
A) AED 180,000
B) AED 120,000
C) AED 220,000
D) AED 280,000
Solutions:
| Question # 1 Answer: D | Question # 2 Answer: B | Question # 3 Answer: A | Question # 4 Answer: A | Question # 5 Answer: A |
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