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CISI UAE Financial Rules and Regulations Sample Questions:

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) It was the result of a rumour being spread
C) The investor has a conviction of an offence of dishonour
D) The individual is a former employee

2. In cases where securities are bought and sold during the same trading session, the client must have in its cash account enough:

A) credit to cover the value of any losses
B) securities to the value of purchase
C) credit to cover the value of sale
D) credit to cover the value of purchase

3. Where a financial analyst wants to conduct a personal transaction which relates to investment research being undertaken, what additional requirement is normally imposed?

A) Signing of a guarantee undertaking
B) Approval from the Authority or Central Bank
C) Signing of a non-conflict disclaimer
D) Approval from the firm's legal or compliance department

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

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

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

Solutions: