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CISI UAE Financial Rules and Regulations Sample Questions:

1. Where a private equity fund is to be incorporated, the incorporation agreement must include a statement indicating:

A) whether the limited partners can influence investment management
B) whether the investment management will be outsourced
C) who bears main responsibility for regulatory compliance
D) who will be appointed auditor for the fund

2. The Authority will only grant a licence to operate a crypto fundraising platform in the UAE if the applicant is a legal person in the form of:

A) an exchange licensed by the Authority in the UAE
B) a company incorporated under Shariah law
C) an exchange licensed by a market in the UAE
D) a sophisticated trader or a qualified investor

3. During an investigation, what should a licensed body do if it discovers that any of the submitted documents or information are incorrect, misleading or have been changed?

A) Notify the concerned entity at the Authority or any of the capital market institutions within 5 working days
B) Notify the concerned entity at the Authority or any of the capital market institutions immediately
C) The Chair and Board of Directors should notify the Authority and tender their resignations
D) Call an emergency Board meeting and thereafter notify the concerned entity at the Authority

4. 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:

A) no less than AED 100,000 and no more than AED 5,000,000
B) no less than AED 1,000,000 and no more than AED 10,000,000
C) no less than AED 100,000 and no more than AED 1,000,000
D) no less than AED 50,000 and no more than AED 1,000,000

5. When promoting private funds, related materials must:

A) receive prior approval of the content from the Authority
B) advise that the funds cannot be transferred to a third party
C) refrain from using public advertisement media of certain types, including audio and video, with the exception of read media
D) clarify the private fund's specific nature and include the required disclaimer laid down by the Authority

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