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

CISI UAE Financial Rules and Regulations Sample Questions:

1. An error was made by a broker which led to a trade being conducted using the wrong trading account number.
If the trader submitted a request to have the number amended 40 minutes after the end of the trading session, the amendment would only be made if:

A) the correction is within a 5% error margin
B) an impact assessment gives acceptable results
C) the circumstances are considered to be exceptional
D) an alteration fee is paid at the same time

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

3. 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

4. Which of the following is one of the prescribed financial activities for which the Authority can issue a license?

A) Corporate planning
B) Promotion
C) Risk management
D) Analysis

5. Why would a transaction to purchase securities be declared null and void?

A) The Authority has levied a penalty for delay of payment
B) It was the result of a rumour being spread
C) The individual is a former employee
D) The investor has a conviction of an offence of dishonour

Solutions: