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CISI UAE Financial Rules and Regulations Sample Questions:

1. If there is a material change in the nature of the relevant software, the regulations state that investors who have accepted an offer of crypto assets must be notified:

A) within no less than 7 days
B) immediately after implementation
C) promptly in advance
D) within no less than 14 days

2. If a discrepancy comes to light when conducting an external reconciliation, what must the firm do?

A) Investigate and correct it as soon as possible
B) Immediately inform the regulator verbally and follow this up in writing
C) Close the client's account by close of business on the same day
D) Immediately suspend operations with the third party

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

4. A joint-stock company applying for a licence to conduct clearing activities in a commodity market recently appointed a new chairman and a new CEO. Why did this lead to the application being refused?

A) They had been employed by the company during the previous year
B) They were supported by just three other board members
C) Only the CEO's compensation had been approved by the Authority
D) Only the chairman held a tranche of the company's shares

5. Under what circumstances, if any, is an introducer allowed to provide an investor with financial analysis?

A) Under no circumstances
B) Only if no recommendations are made
C) Only if the client proactively requests one
D) Only if it is licensed to do so

Solutions: