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CISI UAE Financial Rules and Regulations Sample Questions:

1. 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

2. In what circumstances can the requirement for licensed bodies to disclose their legal status be waived?

A) A takeover bid for the licensed body has been launched
B) A significant market correction is taking place
C) A court case against the licensed body is in progress
D) An emergency has been notified to the Authority

3. In order for the contents of a financial promotion which quotes yield figures to satisfy the clear, fair, and not misleading rule, it should:

A) make the promotion available simultaneously in printed form and online
B) give a balanced impression of both short and long term prospects
C) always assume the communication is intended for a retail client
D) ensure all monetary examples are calculated to at least two decimal places

4. 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

5. 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) development and implementation of policies and procedures
C) the procedures and mechanisms that ensure that the responsible officer shall have access to all records
D) the procedures and mechanisms required to enable the internal auditor to act independently

Solutions: