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

CISI UAE Financial Rules and Regulations Sample Questions:

1. What is the maximum term of imprisonment that can be imposed on a person who attempts to commit the crime of money laundering?

A) Seven years
B) Ten years
C) Three years
D) Five years

2. When licence applicants submit behaviour regulations including a professional code of ethics, this falls under the category of:

A) administration regulation
B) employee regulation
C) technical system
D) governance regulation

3. The DFM's Professional Code of Conduct requires brokerage firms to take reasonable steps to determine the identity of their clients. For natural persons, this should include:

A) nature of the entity, its legal form, type and capital
B) profession, exact address, PO Box and phone number
C) full name of portfolio manager
D) commercial register number and commercial licence

4. Under what circumstances, if any, is an introducer allowed to provide an investor with financial analysis?

A) Only if no recommendations are made
B) Only if the client proactively requests one
C) Under no circumstances
D) Only if it is licensed to do so

5. What is the minimum fine that can be levied on a person found guilty of financing an illegal organisation?

A) AED 300,000
B) AED 200,000
C) AED 150,000
D) AED 250,000

Solutions: