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CISI UAE Financial Rules and Regulations Sample Questions:

1. 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) 2 days
B) 5 days
C) 10 days
D) 30 days

2. The role of the authorised agent of the exchange-traded fund (ETF) is to:

A) update sell and buy orders
B) regularly announce the indicative value of the net value of assets
C) ensure that the transfer of ownership of units is completed
D) announce the net value of the unit's assets on a daily basis

3. The Corporate Governance Guide automatically allows board members of public joint-stock companies to accept gifts up to what maximum stated value?

A) AED 100
B) AED 500
C) AED 300
D) AED 200

4. If there is a material change in the nature of the relevant software, the regulations state that investors who have accepted an offer of crypto assets must be notified:

A) within no less than 7 days
B) immediately after implementation
C) promptly in advance
D) within no less than 14 days

5. The policies of a firm applying for a financial activities licence must include arrangements to provide a copy of its complaints handling procedure to clients:

A) within 48 hours of accepting the client
B) within 24 hours of accepting the client
C) on receipt of a complaint
D) on request

Solutions: