CISI UAE-Financial-Rules-and-Regulations

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

2. The last trading day for an India Gold Quanto Futures contract is:

A) four business days prior to the 25th calendar day of the delivery month
B) one business day prior to the last business day of the delivery month
C) two business days prior to the last business day of the delivery month
D) the 25th calendar day of the delivery month

3. Each licence applicant must submit a risk management guide that includes:

A) the mechanisms required to enable the compliance officer to have access to sufficient resources
B) the procedures and mechanisms that ensure that the responsible officer shall have access to all records
C) the procedures and mechanisms required to enable the internal auditor to act independently
D) development and implementation of policies and procedures

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

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

5. What proportion of the market value of securities owned by a brokerage company are used to increase the value of its guarantee?

A) 50%
B) 60%
C) 80%
D) 70%

Solutions: