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

CISI UAE Financial Rules and Regulations Sample Questions:

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

2. If there is a material change in the nature of the relevant software, the regulations state that investors who have accepted an offer of crypto assets must be notified:

A) within no less than 7 days
B) within no less than 14 days
C) immediately after implementation
D) promptly in advance

3. The DFM's Professional Code of Conduct requires brokerage firms to take reasonable steps to determine the identity of their clients. For natural persons, this should include:

A) commercial register number and commercial licence
B) profession, exact address, PO Box and phone number
C) full name of portfolio manager
D) nature of the entity, its legal form, type and capital

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

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

5. When establishing a local investment fund, how much are the founders required to subscribe?

A) At least 20 million dirhams
B) At least 10 million dirhams
C) At least 1 million dirhams
D) At least 5 million dirhams

Solutions: