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

CISI UAE Financial Rules and Regulations Sample Questions:

1. When promoting private funds, related materials must:

A) advise that the funds cannot be transferred to a third party
B) refrain from using public advertisement media of certain types, including audio and video, with the exception of read media
C) clarify the private fund's specific nature and include the required disclaimer laid down by the Authority
D) receive prior approval of the content from the Authority

2. DFM brokerage firms are required to ensure that employees have appropriate professional experience if they:

A) are employed to deal with clients or on their behalf
B) are employed to operate an electronic trading or clearing system
C) are new to the company or the industry
D) are on full-time or substantial part-time contracts

3. For all local funds, a semi-annual report on the public fund's performance must be prepared no later than:

A) 30 days from the end of the financial year
B) 2 months from the end of the semi-annual period
C) 45 days from the end of the semi-annual period
D) 2 months from the end of the financial year

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

5. If a listed company faces accumulated losses of 50% or more of capital, what is required to happen?

A) It is moved from a second category listing to a first category of listing
B) Its shares are suspended for at least six months
C) It is required to be audited more frequently
D) It is moved from a first category listing to a second category of listing

Solutions: