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

CISI UAE Financial Rules and Regulations Sample Questions:

Question 1

The disclosure of a licensed body's legal status, including the fact that it is licensed by the Authority, is important because:

A. it enables those that might suffer from perceived or actual misbehaviour at the hands of a firm to raise their concerns with the regulator
B. it allows third party firms to use, utilise, or copy the Authority's logo for any reason and this reassures clients
C. it ensures that no clients suffer from perceived or actual misbehaviour at the hands of a firm which is regulated
D. it forces firms to disclose their regulatory status and that they are subject to the Authority's control and supervision

Question 2

A vote carried out by the board of the Authority resulted in a tie. What happens in these circumstances?

A. The vote against the resolution is automatically carried
B. The decision is postponed until another vote can be taken
C. The chairman or their deputy is granted the casting vote
D. The vote for the resolution is automatically carried

Question 3

A Special Purpose Acquisition Company deposited 95% of its public subscription proceeds into an escrow account. It is permitted to use this money to:

A. Meet recovery requests by the investors
B. Finance an internal restructuring programme
C. Hedge against adverse market movements
D. Fund the issue of additional shares

Question 4

An introducer approved by the Authority is obliged to obtain further approval before:

A. Receiving any commission payments
B. Approaching legal entities to arrange an introduction
C. Conducting any introduction business outside the UAE
D. Asking clients to provide new business referrals

Question 5

Following an IPO, within how many business days from the date of the registration certificate issued by the Authority must the Special Purpose Acquisition Company submit a request to the market to list the shares and warrants issued by it?

A. Two
B. Five
C. Three
D. One

Solutions: