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

CISI UAE Financial Rules and Regulations Sample Questions:

1. Each licence applicant must submit a risk management guide that includes:

A) the mechanisms required to enable the compliance officer to have access to sufficient resources
B) development and implementation of policies and procedures
C) the procedures and mechanisms required to enable the internal auditor to act independently
D) the procedures and mechanisms that ensure that the responsible officer shall have access to all records

2. Where self-fund founders intend to accept in-kind shares, the fund prospectus must state whether these shares:

A) will be held as capital assets of the fund
B) are consistent with the fund's investment strategy
C) may subsequently be disposed of
D) are to be valued subjectively

3. DFM brokerage firms are required to ensure that employees have appropriate professional experience if they:

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

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

5. The effectiveness of a financial institution's internal policies, controls and procedures to combat money laundering must be tested by:

A) external consultants
B) the audit committee
C) regular operational resilience exercises
D) an independent audit function

Solutions: