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

2. The Authority will only grant a licence to operate a crypto fundraising platform in the UAE if the applicant is a legal person in the form of:

A) a company incorporated under Shariah law
B) an exchange licensed by a market in the UAE
C) a sophisticated trader or a qualified investor
D) an exchange licensed by the Authority in the UAE

3. 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 100,000 and no more than AED 1,000,000
B) no less than AED 50,000 and no more than AED 1,000,000
C) no less than AED 100,000 and no more than AED 5,000,000
D) no less than AED 1,000,000 and no more than AED 10,000,000

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

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

5. If an offering person arranges the issuance of crypto assets for which funds have been subscribed by investors, controls must be set up to avoid:

A) subscriptions being taken at different threshold levels
B) subscriptions being taken at excessive levels from non-qualified investors
C) prices being allowed to fluctuate during the opening offer period
D) prices being determined at the discretion of the issuer

Solutions: