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

2. Customer due diligence measures require management approval if the natural person involved is:

A) normally resident outside the State
B) under the age of 21
C) registered as disabled
D) a politically exposed person

3. In order to be authorised to deal in investments, which of the following professional roles would the Authority expect to see within the firm?

A) Trading Manager
B) Broker Representative
C) Compliance Officer
D) Operations Manager

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

5. Where a financial analyst wants to conduct a personal transaction which relates to investment research being undertaken, what additional requirement is normally imposed?

A) Approval from the firm's legal or compliance department
B) Signing of a guarantee undertaking
C) Signing of a non-conflict disclaimer
D) Approval from the Authority or Central Bank

Solutions: