Exam Name: CISI UAE Financial Rules and Regulations Exam
Certification Provider: CISI
Corresponding Certification: Investment Operations Certificate (IOC)
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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: Regulatory Ethics and Professional Standards | - Ethical standards in financial services
|
| Topic 2: UAE Financial Regulatory Framework | - Federal financial regulation structure
|
| Topic 3: Anti-Money Laundering and Financial Crime | - Financial crime prevention
|
| Topic 4: Financial Conduct and Compliance | - Conduct of business standards
|
CISI UAE Financial Rules and Regulations Sample Questions:
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. 0.5%
- B. 1.0%
- C. 2.0%
- D. 2.5%
Correct Answer: B 🗳️
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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 excessive levels from non-qualified investors
- B. prices being allowed to fluctuate during the opening offer period
- C. subscriptions being taken at different threshold levels
- D. prices being determined at the discretion of the issuer
Correct Answer: A 🗳️
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One of the financial activities included within "dealing in investment" and expected to be conducted by a Financial Analyst is:
- A. Securities dealing
- B. Trading brokerage
- C. Managing a portfolio of securities
- D. Administrative services for investment funds
Correct Answer: C 🗳️
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What is the maximum term of imprisonment that can be imposed on a person who attempts to commit the crime of money laundering?
- A. Ten years
- B. Five years
- C. Seven years
- D. Three years
Correct Answer: B 🗳️
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When a firm applies to the Authority for a licence, an internal audit guide must be included setting out procedures which will ensure that:
- A. The internal auditor can act independently
- B. Internal audits are carried out at least quarterly
- C. The internal auditor is externally nominated
- D. Internal audits are registered with the correct accounting times
Correct Answer: A 🗳️
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