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CISI UAE Financial Rules and Regulations Sample Questions:

1. DFM brokerage firms are required to ensure that employees have appropriate professional experience if they:

A) are on full-time or substantial part-time contracts
B) are employed to operate an electronic trading or clearing system
C) are new to the company or the industry
D) are employed to deal with clients or on their behalf

2. Establishing a local investment fund requires the approval of the Authority, for a public fund this will either be granted or rejected within:

A) 20 working days
B) 30 working days
C) 5 working days
D) 10 working days

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

4. An obligor with a retail primary listing of Sukuk immediately notified the Authority when one of its board directors was replaced. Why was the obligor considered to be in breach of its continuing obligations?

A) The new director had less than 5 years' experience
B) The obligor failed to also notify the market
C) The new director held a foreign passport
D) The obligor failed to give 14 days' notice

5. If the mid-point is used to determine the theoretical auction price for a pre-closing session of the DFM, it is:

A) rounded to one decimal place
B) rounded down to the nearest price tick
C) rounded to two decimal places
D) rounded up to the nearest price tick

Solutions: