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CISI UAE Financial Rules and Regulations Sample Questions:

1. DFM brokerage firms are required to ensure that employees have appropriate professional experience if they:

A) are employed to deal with clients or on their behalf
B) are on full-time or substantial part-time contracts
C) are new to the company or the industry
D) are employed to operate an electronic trading or clearing system

2. The Board of a securities market wished to suspend a rule relating to the operations of that market, why was it unable to do so?

A) A 30-day notice was not provided
B) An Authority penalty was pending
C) The majority of the board was not present
D) It failed to seek permission from the Authority

3. When updating their money laundering compliance framework, firms involved in crypto assets are required to take into account the recommendations of which body?

A) United Nations Office on Drugs and Crime
B) Financial Action Task Force
C) Bank for International Settlements
D) World Bank

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

5. If an issuer provides its shareholders with bonus shares, then the CSD Department will deposit the bonus shares issued in the account and will register them as a whole, round number. What happens in the case that there are fractions of shares?

A) These are also added to the shareholder's account
B) The issuing company must sell them within 45 days
C) They are totalled up and put in a suspense account
D) The issuing company must sell them within 30 days

Solutions: