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

CISI UAE Financial Rules and Regulations Sample Questions:

1. When licence applicants submit behaviour regulations including a professional code of ethics, this falls under the category of:

A) employee regulation
B) administration regulation
C) technical system
D) governance regulation

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

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

3. Unless otherwise agreed, a broker must submit to the client a statement of account that outlines the client's balance of securities and cash, and all transactions executed every:

A) 3 months
B) month
C) 12 months
D) 6 months

4. 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 24 hours of accepting the client
C) on receipt of a complaint
D) within 48 hours of accepting the client

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

Solutions: