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

CISI UAE Financial Rules and Regulations Sample Questions:

Question 1

The offence of tipping off leads to:

A. Imprisonment for no less than six years and/or a penalty of no less than AED 100,000 and no more than AED 500,000
B. Imprisonment for life and/or a penalty of no less than AED 100,000 and no more than AED 5,000,000
C. Imprisonment for no less than six months and/or a penalty of no less than AED 1,000,000 and no more than AED 5,000,000
D. Imprisonment for no less than six months and/or a penalty of no less than AED 100,000 and no more than AED 500,000

Question 2

Within what period after the date of closing subscriptions must the fund manager and the founders of a self- managed fund submit a certificate of completion from the auditor?

A. 10 days
B. 30 days
C. 5 days
D. 15 days

Question 3

What action will the CSD Department take shortly after uploading a shareholders' register onto the ADX's electronic systems?

A. Place a back-up copy off-site for disaster-recovery purposes
B. Issue e-registration slips to all the shareholders
C. Send a copy of the e-register to the issuer for reconciliation purposes
D. Notify the Authority that this process has been completed

Question 4

Where a private equity fund is to be incorporated, the incorporation agreement must include a statement indicating:

A. whether the investment management will be outsourced
B. who bears main responsibility for regulatory compliance
C. whether the limited partners can influence investment management
D. who will be appointed auditor for the fund

Question 5

The DFM's Professional Code of Conduct requires brokerage firms to take reasonable steps to determine the identity of their clients. For corporate persons, this should include:

A. Profession, exact address, PO Box and phone number
B. Full name and nationality of any portfolio manager
C. Commercial register number and commercial licence
D. Nature of the entity, its legal form, type and capital

Solutions: