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CISI UAE Financial Rules and Regulations Sample Questions:

1. Which of the following is a sanction available to the Authority in the event of a violation of its provisions?

A) Suspend the licensed body for a period of two years
B) Suspend any financial activity practised during an investigation
C) Impose a financial fine of not more than AED 100,000
D) Impose a financial fine of not less than AED 100,000

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

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

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

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

4. What does the Authority usually do before deciding to delist a company's shares?

A) Issue a fine for payment within 30 days
B) Consult with the relevant firm
C) Consult with the relevant market
D) Issue an improvement notice of 30 days

5. The Depository Centre must periodically report to the Authority on shareholders who hold more than what threshold percentage of equity in the Centre's capital?

A) 15%
B) 3%
C) 5%
D) 10%

Solutions: