Try and practice the latest CISI : UAE-Financial-Rules-and-Regulations real questions & answers

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

CISI UAE Financial Rules and Regulations Sample Questions:

1. An error was made by a broker which led to a trade being conducted using the wrong trading account number.
If the trader submitted a request to have the number amended 40 minutes after the end of the trading session, the amendment would only be made if:

A) the correction is within a 5% error margin
B) the circumstances are considered to be exceptional
C) an alteration fee is paid at the same time
D) an impact assessment gives acceptable results

2. An obligor with a retail primary listing of Sukuk immediately notified the Authority when one of its board directors was replaced. Why was the obligor considered to be in breach of its continuing obligations?

A) The new director had less than 5 years' experience
B) The obligor failed to also notify the market
C) The obligor failed to give 14 days' notice
D) The new director held a foreign passport

3. In order to be authorised to deal in investments, which of the following professional roles would the Authority expect to see within the firm?

A) Trading Manager
B) Operations Manager
C) Broker Representative
D) Compliance Officer

4. DFM brokerage firms are required to ensure that employees have appropriate professional experience if they:

A) are on full-time or substantial part-time contracts
B) are employed to deal with clients or on their behalf
C) are new to the company or the industry
D) are employed to operate an electronic trading or clearing system

5. Following a public subscription, what must a Special Purpose Acquisition Company do with the proceeds?

A) Deposit not less than 100% of the public subscription proceeds within two business days of receipt
B) Deposit not less than 90% of the public subscription proceeds within two business days of receipt
C) Deposit not less than 100% of the public subscription proceeds within one business day of receipt
D) Deposit not less than 90% of the public subscription proceeds within one business day of receipt

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