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

CISI UAE Financial Rules and Regulations Sample Questions:

Question 1

In which of the following circumstances is a brokerage company, which is both a trading and clearing member, allowed to freeze a client's securities?

A. The company has reasonable grounds to suspect money laundering
B. The client no longer has a permanent residence inside the State
C. The client's account has been inactive for over two years
D. The action is taken in accordance with the market procedures

Question 2

Brokers have a number of obligations in relation to client orders, including:

A. Reselling or repurchasing securities where orders breach regulations
B. Ensuring a buy order is processed before the client has paid
C. Avoiding conflicts when the firm has an interest in a transaction
D. Processing all sell orders on a short-selling basis

Question 3

The effectiveness of a financial institution's internal policies, controls and procedures to combat money laundering must be tested by:

A. external consultants
B. the audit committee
C. regular operational resilience exercises
D. an independent audit function

Question 4

The compliance regulation guide, submitted by an applicant for a license from the Authority, must set out procedures and mechanisms which will ensure that the compliance officer:

A. can report confidentially to the regulator
B. has access to sufficient resources
C. can appoint a deputy during an unplanned absence
D. is able to suspend operations in an emergency

Question 5

An in-kind shares evaluation report must be based on data covering what maximum period before the evaluation date?

A. One month
B. Two months
C. Three months
D. Four months

Solutions: