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CISI UAE Financial Rules and Regulations Sample Questions:

1. 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) Signing of a guarantee undertaking
C) Signing of a non-conflict disclaimer
D) Approval from the Authority or Central Bank

2. 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 court case against the licensed body is in progress
C) An emergency has been notified to the Authority
D) A takeover bid for the licensed body has been launched

3. The whistleblowing policy submitted by an applicant for a financial activities licence must include a mechanism for:

A) protecting the reporting employee
B) ensuring all staff have a named reporting contact
C) escalating any reports to board level
D) disciplining staff proven to have breached rules

4. If an error in the final cash settlement price of an equity index comes to the attention of the Exchange more than 30 minutes after the publication of the final cash settlement price, what happens?

A) No correction will be made
B) It will be re-determined
C) The provider will correct it
D) Liability is apportioned

5. If a listed company faces accumulated losses of 50% or more of capital, what is required to happen?

A) It is moved from a first category listing to a second category of listing
B) It is required to be audited more frequently
C) Its shares are suspended for at least six months
D) It is moved from a second category listing to a first category of listing

Solutions: