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CISI UAE Financial Rules and Regulations Sample Questions:

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

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

2. What is the minimum fine that can be levied on a person found guilty of financing an illegal organisation?

A) AED 250,000
B) AED 300,000
C) AED 150,000
D) AED 200,000

3. Where a brokerage firm on the DFM has a client with a debit balance, the regulations prevent the firm from:

A) accepting new orders from the client
B) selling securities on the client's behalf
C) paying any cash to the client
D) providing investment advice to the client

4. When establishing a local investment fund, how much are the founders required to subscribe?

A) At least 20 million dirhams
B) At least 10 million dirhams
C) At least 5 million dirhams
D) At least 1 million dirhams

5. An in-kind shares evaluation report must be based on data covering what maximum period before the evaluation date?

A) Three months
B) Four months
C) Two months
D) One month

Solutions: