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

CISI UAE Financial Rules and Regulations Sample Questions:

Question 1

Why would a transaction in securities listed on the market be declared null and void?

A. It was not recorded according to the provisions and the regulations and resolutions issued
B. Trading transactions in securities and commodities were not monitored on a daily basis
C. There was a failure to present reports and data to the Authority and issue the necessary press releases
D. A member of the Board was convicted of an offence of dishonour

Question 2

Which category of firm is required to provide accounts using a 'Unified Centralised Back Office System'?

A. Category 4 - Credit rating agencies
B. Category 1 - Dealing in securities
C. Category 2 - Dealing in investments
D. Category 3 - Custody, clearing and recording

Question 3

Why might employees in one part of a regulated business be permitted to withhold information from employees in another part of the business?

A. At the request of the audit function
B. Strict privacy of client information
C. Prevention of insider trading
D. To comply with a Chinese wall

Question 4

Where a pledge request is submitted to the CSD Department, the details provided on the relevant form must include:

A. The party entitled to the profits
B. The reason for the arrangement
C. The duration of the arrangement
D. The agreed default option

Question 5

The market must provide an electronic trading system which ensures:

A. The ability to manually stop purchase orders which exceed the limits of the broker's bank guarantee or reach the limit of a special order
B. Provision of trading accounts that can be opened in the names of two or more investors without the requirement for Authority approval
C. The automatic stopping of purchase orders which exceed the limits of the broker's bank guarantee or reach the limit of a special order
D. Privacy to enable all companies and entities whose securities are listed in the market, and their registrars, to keep the information secret

Solutions: