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

CISI UAE Financial Rules and Regulations Sample Questions:

1. The whistleblowing policy submitted by an applicant for a financial activities licence must include a mechanism for:

A) escalating any reports to board level
B) disciplining staff proven to have breached rules
C) ensuring all staff have a named reporting contact
D) protecting the reporting employee

2. A failure to report suspicions, or gross negligence in implementing processes and procedures in relation to suspicions of money laundering, can result in a fine of:

A) no less than AED 1,000,000 and no more than AED 10,000,000
B) no less than AED 100,000 and no more than AED 5,000,000
C) no less than AED 50,000 and no more than AED 1,000,000
D) no less than AED 100,000 and no more than AED 1,000,000

3. A real estate investment fund may borrow no more than what percentage of its total assets value?

A) 10%
B) 50%
C) 75%
D) 25%

4. Membership of an Authority regulated market is obligatory for which of the following entities?

A) Licensed brokers
B) Listed joint-stock companies and licensed brokers
C) Listed joint-stock companies, licensed brokers and other listed entities
D) Listed joint-stock companies, licensed brokers and any other type of business entity

5. Where a local investment fund is established by an entity licensed to conduct family investment management, what minimum proportion of the units must be owned by family members?

A) 100%
B) 90%
C) 51%
D) 75%

Solutions: