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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Regulatory Ethics and Professional Standards | - Ethical standards in financial services
|
| UAE Financial Regulatory Framework | - Federal financial regulation structure
|
| Financial Conduct and Compliance | - Compliance and supervision
|
| Anti-Money Laundering and Financial Crime | - Financial crime prevention
|
CISI UAE Financial Rules and Regulations Sample Questions:
1. One of the financial activities included within "dealing in investment" and expected to be conducted by a Financial Analyst is:
A) Managing a portfolio of securities
B) Trading brokerage
C) Securities dealing
D) Administrative services for investment funds
2. Omar and Rashid are Authority board members and the appointment period for both of them is about to expire. Why can only Omar's appointment be renewed?
A) Omar is remunerated for his services whereas Rashid is not
B) Omar holds relevant securities whereas Rashid does not
C) Omar has served one term whereas Rashid has served two terms
D) Omar is aged 71 whereas Rashid is aged 76
3. During a trading session, if an order is not fully executed, then:
A) the remaining unexecuted volume is cancelled and a new order is placed, at the last executed price
B) the remaining unexecuted volume stays on the trading system, at the last executed price
C) the order will be dealt with at the next trading session
D) the transaction is executed at the price set on the other side of the transaction
4. In what circumstances may representatives of a broker or employees of brokerage firms trade for their own accounts?
A) Only through their own firms and upon written approval of the brokerage firm manager and the Authority
B) Only through their own firms and upon written approval of the brokerage firm manager and the DFM
C) Only through other firms and upon written approval of the brokerage firm manager and the Authority
D) Only through the account of a spouse or family member, with written approval of the brokerage firm manager and the Authority
5. Firms providing investment management services must provide periodic statements to retail clients, in normal circumstances at least every:
A) 6 months
B) month
C) 12 months
D) 3 months
Solutions:
| Question # 1 Answer: A | Question # 2 Answer: C | Question # 3 Answer: B | Question # 4 Answer: B | Question # 5 Answer: A |
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