CISI UAE Financial Rules and Regulations Exam
Last Update Oct 4, 2025
Total Questions : 100
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An applicant for a license from the Authority has submitted a feasibility study and work plan. What method will be used to evaluate this?
Following a public subscription, what must a Special Purpose Acquisition Company do with the proceeds?
If a listed company faces accumulated losses of 50% or more of capital, what is required to happen?
The compliance regulation guide, submitted by an applicant for a license from the Authority, must set out procedures and mechanisms which will ensure that the compliance officer:
An applicant for a financial activities licence must have procedures in place to recover electronic records from the archive within what maximum period?
Which of the following is one of the prescribed financial activities for which the Authority can issue a license?
An obligor with a retail primary listing of Sukuk immediately notified the Authority when one of its board directors was replaced. Why was the obligor considered to be in breach of its continuing obligations?
Establishing a local investment fund requires the approval of the Authority, for a public fund this will either be granted or rejected within:
An error was made by a broker which led to a trade being conducted using the wrong trading account number. If the trader submitted a request to have the number amended 40 minutes after the end of the trading session, the amendment would only be made if:
What does the Authority usually do before deciding to delist a company’s shares?
Which of the following is a sanction available to the Authority in the event of a violation of its provisions?
When establishing a local investment fund, how much are the founders required to subscribe?
Where a financial analyst wants to conduct a personal transaction which relates to investment research being undertaken, what additional requirement is normally imposed?
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:
The watch list, which is monitored by an Authority-established committee, consists of which group of companies?
A public joint-stock company is automatically prevented by the regulations from executing a buyback transaction if it:
DFM brokerage firms are required to ensure that employees have appropriate professional experience if they:
Anyone who notifies or warns a person in relation to suspicions, or reveals any transaction under review in relation to suspicions, is guilty of:
Where a local investment fund is established by an entity licensed to conduct family investment management, what minimum proportion of the units must be owned by family members?
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?
The minimum price movement for a West Texas Intermediate (WTI) Light Sweet Oil Futures contract is:
In what circumstances can the requirement for licensed bodies to disclose their legal status be waived?
Which of the following customer due diligence measures should be taken if a client is a foreign politically exposed person?
The statement in a suitability report giving reasons for the recommendation must also indicate:
If the two evaluators for an in-kind share transfer produce different fair value figures, what figure must be used?
Which of the following financial activities comes under the fifth category licence?
If a discrepancy comes to light when conducting an external reconciliation, what must the firm do?
Unless otherwise agreed, a broker must submit to the client a statement of account that outlines the client’s balance of securities and cash, and all transactions executed every:
TESTED 04 Oct 2025
