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

UAE-Financial-Rules-and-Regulations real exams

Exam Code: UAE-Financial-Rules-and-Regulations

Exam Name: CISI UAE Financial Rules and Regulations Exam

Updated: Jul 17, 2026

Q & A: 102 Questions and Answers

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CISI UAE Financial Rules and Regulations Sample Questions:

1. A good-till-cancelled order on the DFM will remain available for execution unless it is cancelled by:

A) the market committee
B) the investor
C) the clearing member
D) the broker


2. The Depository Centre must periodically report to the Authority on shareholders who hold more than what threshold percentage of equity in the Centre's capital?

A) 15%
B) 5%
C) 3%
D) 10%


3. When updating their money laundering compliance framework, firms involved in crypto assets are required to take into account the recommendations of which body?

A) World Bank
B) Bank for International Settlements
C) Financial Action Task Force
D) United Nations Office on Drugs and Crime


4. Where self-fund founders intend to accept in-kind shares, the fund prospectus must state whether these shares:

A) may subsequently be disposed of
B) are consistent with the fund's investment strategy
C) will be held as capital assets of the fund
D) are to be valued subjectively


5. Where a financial analyst wants to conduct a personal transaction which relates to investment research being undertaken, what additional requirement is normally imposed?

A) Signing of a guarantee undertaking
B) Approval from the Authority or Central Bank
C) Signing of a non-conflict disclaimer
D) Approval from the firm's legal or compliance department


Solutions:

Question # 1
Answer: B
Question # 2
Answer: B
Question # 3
Answer: C
Question # 4
Answer: B
Question # 5
Answer: D

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