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

CISI UAE Financial Rules and Regulations Sample Questions:

1. 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) Immediately inform the regulator verbally and follow this up in writing
C) Close the client's account by close of business on the same day
D) Investigate and correct it as soon as possible

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

A) commercial register number and commercial licence
B) full name of portfolio manager
C) profession, exact address, PO Box and phone number
D) nature of the entity, its legal form, type and capital

3. In order to deal in securities, what minimum level of paid-up capital must a firm have?

A) AED 50 million
B) AED 20 million
C) AED 10 million
D) AED 30 million

4. What additional rule applies to a venture capital fund once the value of its managed assets reaches AED 180 million?

A) Quarterly IFRS reporting must be implemented
B) A Risk Management Officer must be appointed
C) The assets must be reconciled more frequently
D) An additional cash buffer must be created

5. There is a regulatory obligation placed on the evaluator of an investment fund's in-kind shares to indicate whether the shares:

A) Are capital-growth or income-orientated
B) Were acquired at a discount or not
C) Represent short- or long-term assets
D) Can be liquidated or not

Solutions: