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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:

CISI UAE Financial Rules and Regulations Sample Questions:

1. If an offering person arranges the issuance of crypto assets for which funds have been subscribed by investors, controls must be set up to avoid:

A) prices being allowed to fluctuate during the opening offer period
B) subscriptions being taken at excessive levels from non-qualified investors
C) subscriptions being taken at different threshold levels
D) prices being determined at the discretion of the issuer

2. The Board of a securities market wished to suspend a rule relating to the operations of that market, why was it unable to do so?

A) The majority of the board was not present
B) An Authority penalty was pending
C) A 30-day notice was not provided
D) It failed to seek permission from the Authority

3. A joint-stock company applying for a licence to conduct clearing activities in a commodity market recently appointed a new chairman and a new CEO. Why did this lead to the application being refused?

A) They were supported by just three other board members
B) Only the CEO's compensation had been approved by the Authority
C) They had been employed by the company during the previous year
D) Only the chairman held a tranche of the company's shares

4. When a company applies to become a Special Purpose Acquisition Company, its sponsors must prepare proposals to:

A) reduce the risk to investors
B) identify potential money laundering
C) manage conflicts of interest
D) deal with succession planning

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

Solutions: