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CISI UAE Financial Rules and Regulations - UAE-Financial-Rules-and-Regulations Exam Practice Test

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Total 102 questions

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Question 1

In what circumstances can the requirement for licensed bodies to disclose their legal status be waived?

A. A significant market correction is taking place B. A takeover bid for the licensed body has been launched C. A court case against the licensed body is in progress D. An emergency has been notified to the Authority

Discussion 0

Correct Answer: D Vote an answer

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Question 2

A public real estate investment fund must distribute at least what percentage of the achieved net profits every year, to the holders of its units?

A. 50% B. 100% C. 80% D. 75%

Discussion 0

Correct Answer: C Vote an answer

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Question 3

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

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

Discussion 0

Correct Answer: C Vote an answer

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Question 4

The last trading day for an India Gold Quanto Futures contract is:

A. one business day prior to the last business day of the delivery month B. two business days prior to the last business day of the delivery month C. four business days prior to the 25th calendar day of the delivery month D. the 25th calendar day of the delivery month

Discussion 0

Correct Answer: B Vote an answer

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Question 5

If a Special Purpose Acquisition Company fails to complete a business combination, measures to return the funds to investors must be taken within what maximum number of business days?

A. 25 B. 20 C. 15 D. 10

Discussion 0

Correct Answer: B Vote an answer

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Question 6

A vote carried out by the board of the Authority resulted in a tie. What happens in these circumstances?

A. The decision is postponed until another vote can be taken B. The vote for the resolution is automatically carried C. The chairman or their deputy is granted the casting vote D. The vote against the resolution is automatically carried

Discussion 0

Correct Answer: C Vote an answer

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Question 7

A public joint-stock company is automatically prevented by the regulations from executing a buyback transaction if it:

A. was incorporated in the last three years B. has been designated a company of State importance C. is formally classed as an insurance company D. issued shares in a public offer in the last six months

Discussion 0

Correct Answer: D Vote an answer

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Page: 1 / 15
Total 102 questions

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