Free CISI UAE-Financial-Rules-and-Regulations Practice Test & Real Exam Questions

Exam Code/Number: UAE-Financial-Rules-and-Regulations
Exam Name/Title: CISI UAE Financial Rules and Regulations Exam
Certification Provider: CISI
Corresponding Certification: Investment Operations Certificate (IOC)

Exam Questions: 102
Updated On: Jul 10, 2026

Question #49

Customer due diligence measures require management approval if the natural person involved is:

A. registered as disabled

B. a politically exposed person

C. normally resident outside the State

D. under the age of 21

Discussion 0

Correct Answer: B Vote an answer

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Question #50

Following a public subscription, what must a Special Purpose Acquisition Company do with the proceeds?

A. Deposit not less than 100% of the public subscription proceeds within two business days of receipt

B. Deposit not less than 100% of the public subscription proceeds within one business day of receipt

C. Deposit not less than 90% of the public subscription proceeds within one business day of receipt

D. Deposit not less than 90% of the public subscription proceeds within two business days of receipt

Discussion 0

Correct Answer: B Vote an answer

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Question #51

In order for the contents of a financial promotion which quotes yield figures to satisfy the clear, fair, and not misleading rule, it should:

A. ensure all monetary examples are calculated to at least two decimal places

B. make the promotion available simultaneously in printed form and online

C. give a balanced impression of both short and long term prospects

D. always assume the communication is intended for a retail client

Discussion 0

Correct Answer: C Vote an answer

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Question #52

Why would the Authority board resolve temporarily to halt trading in the shares of any company?

A. A threat to the proper and regular working of that market arises

B. It transpires that the spouse of a board member is a director of that entity

C. A written complaint is made relating to a market activity

D. It does not have the technical equipment necessary to conduct its activity electronically

Discussion 0

Correct Answer: A Vote an answer

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Question #53

To qualify as a big block deal on the ADX's E-Trading system, the securities to be traded must be a minimum of what proportion of the issuer's capital?

A. 2.0%

B. 0.5%

C. 2.5%

D. 1.0%

Discussion 0

Correct Answer: D Vote an answer

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Question #54

When a company applies to become a Special Purpose Acquisition Company, its sponsors must prepare proposals to:

A. manage conflicts of interest

B. identify potential money laundering

C. reduce the risk to investors

D. deal with succession planning

Discussion 0

Correct Answer: A Vote an answer

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