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CISI UAE Financial Rules and Regulations Sample Questions:

1. 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

2. The policies of a firm applying for a financial activities licence must include arrangements to provide a copy of its complaints handling procedure to clients:

A) on request
B) within 24 hours of accepting the client
C) within 48 hours of accepting the client
D) on receipt of a complaint

3. A key reason why the regulator applies financial promotion rules is to ensure that:

A) the market is kept competitive
B) the customers are treated fairly
C) the available product range is maximised
D) the impact of operational risk is avoided

4. The disclosure of a licensed body's legal status, including the fact that it is licensed by the Authority, is important because:

A) it enables those that might suffer from perceived or actual misbehaviour at the hands of a firm to raise their concerns with the regulator
B) it allows third party firms to use, utilise, or copy the Authority's logo for any reason and this reassures clients
C) it forces firms to disclose their regulatory status and that they are subject to the Authority's control and supervision
D) it ensures that no clients suffer from perceived or actual misbehaviour at the hands of a firm which is regulated

5. A vote carried out by the board of the Authority resulted in a tie. What happens in these circumstances?

A) The chairman or their deputy is granted the casting vote
B) The decision is postponed until another vote can be taken
C) The vote for the resolution is automatically carried
D) The vote against the resolution is automatically carried

Solutions: