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CISI UAE Financial Rules and Regulations Sample Questions:

1. If an existing company wants to offer shares after conversion into a public joint-stock company, it must have released audited financial statements for what minimum number of fiscal years prior to the request to offer shares?

A) Three
B) Four
C) Five
D) Two

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

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

3. A brokerage firm's records include client agreements, selling orders and accounts. Under the Professional Code of Conduct, which of these does the DFM have the right to access and review?

A) Selling orders and accounts only
B) Client agreements, selling orders and accounts
C) Accounts and client agreements only
D) Client agreements and selling orders only

4. Firms providing investment management services must provide periodic statements to retail clients, in normal circumstances at least every:

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

5. Which of the following financial activities comes under the fifth category licence?

A) Arrangement and advice
B) Credit rating agencies
C) Dealing in securities
D) Dealing in investments

Solutions: