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CISI UAE Financial Rules and Regulations Sample Questions:

1. The disclosure of a licensed body's legal status, including the fact that it is licensed by the Authority, is important because:

A) it enables those that might suffer from perceived or actual misbehaviour at the hands of a firm to raise their concerns with the regulator
B) it ensures that no clients suffer from perceived or actual misbehaviour at the hands of a firm which is regulated
C) it forces firms to disclose their regulatory status and that they are subject to the Authority's control and supervision
D) it allows third party firms to use, utilise, or copy the Authority's logo for any reason and this reassures clients

2. A firm offering custody, clearing and recording, is required to have a minimum paid-up capital of:

A) AED 50 million
B) AED 100 million
C) AED 30 million
D) AED 150 million

3. Where a brokerage firm on the DFM has a client with a debit balance, the regulations prevent the firm from:

A) accepting new orders from the client
B) providing investment advice to the client
C) selling securities on the client's behalf
D) paying any cash to the client

4. Under what circumstances, if any, is an introducer allowed to provide an investor with financial analysis?

A) Under no circumstances
B) Only if the client proactively requests one
C) Only if it is licensed to do so
D) Only if no recommendations are made

5. A public real estate investment fund must distribute at least what percentage of the achieved net profits every year, to the holders of its units?

A) 80%
B) 50%
C) 75%
D) 100%

Solutions: