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CISI UAE Financial Rules and Regulations Sample Questions:

1. Why might employees in one part of a regulated business be permitted to withhold information from employees in another part of the business?

A) Prevention of insider trading
B) To comply with a Chinese wall
C) Strict privacy of client information
D) At the request of the audit function

2. 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) Five
B) Three
C) Four
D) Two

3. Where a client is a legal person, the customer due diligence obligations require verification of identity for any natural persons holding what minimum controlling ownership interest?

A) 10%
B) 3%
C) 25%
D) 51%

4. Membership of an Authority regulated market is obligatory for which of the following entities?

A) Listed joint-stock companies, licensed brokers and other listed entities
B) Licensed brokers
C) Listed joint-stock companies, licensed brokers and any other type of business entity
D) Listed joint-stock companies and licensed brokers

5. 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) 12 months
B) 6 months
C) 3 months
D) month

Solutions: