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CISI UAE Financial Rules and Regulations Sample Questions:

1. If a discrepancy comes to light when conducting an external reconciliation, what must the firm do?

A) Investigate and correct it as soon as possible
B) Immediately suspend operations with the third party
C) Close the client's account by close of business on the same day
D) Immediately inform the regulator verbally and follow this up in writing

2. What proportion of the market value of securities owned by a brokerage company are used to increase the value of its guarantee?

A) 80%
B) 70%
C) 60%
D) 50%

3. Which of the following is one of the prescribed financial activities for which the Authority can issue a license?

A) Risk management
B) Analysis
C) Corporate planning
D) Promotion

4. Where a client is a legal person, the customer due diligence obligations require verification of identity for any natural persons holding what minimum controlling ownership interest?

A) 25%
B) 10%
C) 51%
D) 3%

5. 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?

A) The obligor failed to also notify the market
B) The obligor failed to give 14 days' notice
C) The new director had less than 5 years' experience
D) The new director held a foreign passport

Solutions: