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CISI UAE Financial Rules and Regulations Sample Questions:

1. 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) deal with succession planning
D) reduce the risk to investors

2. Under what circumstances must licensed entities provide the Authority with copies of appropriateness reports issued to clients?

A) Routinely on a quarterly basis
B) Routinely on a monthly basis
C) Only if a complaint is made
D) Only if requested by them to do so

3. Which of the following is an administrative penalty that can be imposed on financial institutions that violate the law and regulations in relation to money laundering and terrorism financing?

A) A penalty of no less than AED 5,000 and no more than AED 1,000,000 for each violation
B) A penalty of no less than AED 50,000 and no more than AED 5,000,000 for each violation
C) A penalty of no less than AED 100,000 and no more than AED 10,000,000 for each violation
D) A penalty of no less than AED 15,000 and no more than AED 5,000,000 for each violation

4. The approved job for conducting securities dealing is:

A) Broker Representative
B) Category Manager
C) Trading Manager
D) Operations Manager

5. During an investigation, what should a licensed body do if it discovers that any of the submitted documents or information are incorrect, misleading or have been changed?

A) Call an emergency Board meeting and thereafter notify the concerned entity at the Authority
B) Notify the concerned entity at the Authority or any of the capital market institutions within 5 working days
C) The Chair and Board of Directors should notify the Authority and tender their resignations
D) Notify the concerned entity at the Authority or any of the capital market institutions immediately

Solutions: