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

CISI UAE Financial Rules and Regulations Sample Questions:

1. A failure to report suspicions, or gross negligence in implementing processes and procedures in relation to suspicions of money laundering, can result in a fine of:

A) no less than AED 50,000 and no more than AED 1,000,000
B) no less than AED 1,000,000 and no more than AED 10,000,000
C) no less than AED 100,000 and no more than AED 5,000,000
D) no less than AED 100,000 and no more than AED 1,000,000

2. Where self-fund founders intend to accept in-kind shares, the fund prospectus must state whether these shares:

A) are consistent with the fund's investment strategy
B) are to be valued subjectively
C) will be held as capital assets of the fund
D) may subsequently be disposed of

3. Where a client is a legal person, the customer due diligence obligations require verification of identity for any natural persons holding what minimum controlling ownership interest?

A) 10%
B) 25%
C) 3%
D) 51%

4. An application submitted to the ADX by the brokerage company to enable it to supply E-Trading services will result in a decision to approve or reject the application within:

A) 30 days
B) 2 days
C) 5 days
D) 10 days

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

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

Solutions: