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Exam Code:	UAE-Financial-Rules-and-Regulations
Exam Name:	CISI UAE Financial Rules and Regulations Exam
Certification Provider:	CISI
Free Question Number:	45
Version:	v2025-11-15
Rating:
# of views:	115
# of Questions views:	500
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Exam Question List: Question 1: The contract size for trading in Silver Futures on the Dubai...; Question 2: The role of the authorised agent of the exchange-traded fund...; Question 3: Which of the following customer due diligence measures shoul...; Question 4: In cases where securities are bought and sold during the sam...; Question 5: Which of the following is one of the prescribed financial ac...; Question 6: The Authority will only grant a licence to operate a crypto ...; Question 7: When a company applies to become a Special Purpose Acquisiti...; Question 8: The policies of a firm applying for a financial activities l...; Question 9: Firms providing investment management services must provide ...; Question 10: Which of the following is a sanction available to the Author...; Question 11: Establishing a local investment fund requires the approval o...; Question 12: Unless otherwise agreed, a broker must submit to the client ...; Question 13: The disclosure of a licensed body's legal status, including ...; Question 14: A real estate investment fund may borrow no more than what p...; Question 15: If an offering person arranges the issuance of crypto assets...; Question 16: In what circumstances can the requirement for licensed bodie...; Question 17: For all local funds, a semi-annual report on the public fund...; Question 18: Membership of an Authority regulated market is obligatory fo...; Question 19: When promoting private funds, related materials must:...; Question 20: The Depository Centre must periodically report to the Author...; Question 21: A vote carried out by the board of the Authority resulted in...; Question 22: The whistleblowing policy submitted by an applicant for a fi...; Question 23: The approved job for conducting securities dealing is:...; Question 24: Why would the Authority board resolve temporarily to halt tr...; Question 25: Which of the following is an administrative penalty that can...; Question 26: An application submitted to the ADX by the brokerage company...; Question 27: Customer due diligence measures require management approval ...; Question 28: Anyone who notifies or warns a person in relation to suspici...; Question 29: When updating their money laundering compliance framework, f...; Question 30: On the Dubai Gold & Commodities Exchange, how many deliv...; Question 31: Why might employees in one part of a regulated business be p...; Question 32: The effectiveness of a financial institution's internal poli...; Question 33: In order for the contents of a financial promotion which quo...; Question 34: Why would a transaction to purchase securities be declared n...; Question 35: The DFM's Professional Code of Conduct requires brokerage fi...; Question 36: Under what circumstances, if any, is an introducer allowed t...; Question 37: If a listed company faces accumulated losses of 50% or more ...; Question 38: An in-kind shares evaluation report must be based on data co...; Question 39: When collecting data from official authorities, evaluators o...; Question 40: The conciliation process allows the Authority to impose what...; Question 41: Where an applicant for a financial activities licence uses a...; Question 42: Which of the following acts is considered to constitute the ...; Question 43: The Board of a securities market wished to suspend a rule re...; Question 44: If the perpetrator of a money laundering crime is a repeat o...; Question 45: An obligor with a retail primary listing of Sukuk immediatel...

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