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CISI UAE Financial Rules and Regulations Sample Questions:

1. Unless otherwise agreed, a broker must submit to the client a statement of account that outlines the client's balance of securities and cash, and all transactions executed every:

A) 3 months
B) 6 months
C) 12 months
D) month

2. The watch list, which is monitored by an Authority-established committee, consists of which group of companies?

A) All private companies which have declared losses in the last 12 months
B) All public companies which have declared losses in the last 12 months
C) Companies in the first category
D) Companies in the second category

3. Where a private equity fund is to be incorporated, the incorporation agreement must include a statement indicating:

A) who will be appointed auditor for the fund
B) whether the investment management will be outsourced
C) whether the limited partners can influence investment management
D) who bears main responsibility for regulatory compliance

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 client is a legal person, the customer due diligence obligations require verification of identity for any natural persons holding what minimum controlling ownership interest?

A) 51%
B) 3%
C) 10%
D) 25%

Solutions: