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

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

CISI UAE Financial Rules and Regulations Sample Questions:

Question #1
Why would a transaction to purchase securities be declared null and void?

A. The Authority has levied a penalty for delay of payment
B. The individual is a former employee
C. The investor has a conviction of an offence of dishonour
D. It was the result of a rumour being spread

Question #2
Applicants for an Authority licence must supply details covering the retention of employee data for what minimum period from the date of the last update?

A. Three years
B. Ten years
C. Five years
D. Seven years

Question #3
Firms providing investment management services must provide periodic statements to retail clients, in normal circumstances at least every:

A. 3 months
B. 12 months
C. 6 months
D. month

Question #4
In which of the following circumstances is a brokerage company, which is both a trading and clearing member, allowed to freeze a client's securities?

A. The company has reasonable grounds to suspect money laundering
B. The action is taken in accordance with the market procedures
C. The client no longer has a permanent residence inside the State
D. The client's account has been inactive for over two years

Question #5
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 excessive levels from non-qualified investors
B. prices being determined at the discretion of the issuer
C. prices being allowed to fluctuate during the opening offer period
D. subscriptions being taken at different threshold levels

Solutions: