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

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

CISI UAE Financial Rules and Regulations Sample Questions:

1. A good-till-cancelled order on the DFM will remain available for execution unless it is cancelled by:

A) the investor
B) the market committee
C) the broker
D) the clearing member

2. Where a financial analyst wants to conduct a personal transaction which relates to investment research being undertaken, what additional requirement is normally imposed?

A) Approval from the firm's legal or compliance department
B) Approval from the Authority or Central Bank
C) Signing of a non-conflict disclaimer
D) Signing of a guarantee undertaking

3. Where an applicant for a financial activities licence uses a cloud-based server, they must set out provisions to ensure the outsourced party can operate with zero data loss for what stated period?

A) Five years
B) Ten years
C) Three years
D) Seven years

4. When a company applies to become a Special Purpose Acquisition Company, its sponsors must prepare proposals to:

A) manage conflicts of interest
B) reduce the risk to investors
C) identify potential money laundering
D) deal with succession planning

5. If a discrepancy comes to light when conducting an external reconciliation, what must the firm do?

A) Immediately suspend operations with the third party
B) Close the client's account by close of business on the same day
C) Immediately inform the regulator verbally and follow this up in writing
D) Investigate and correct it as soon as possible

Solutions: