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

2. The last trading day for an India Gold Quanto Futures contract is:

A) the 25th calendar day of the delivery month
B) one business day prior to the last business day of the delivery month
C) two business days prior to the last business day of the delivery month
D) four business days prior to the 25th calendar day of the delivery month

3. The approved job for conducting securities dealing is:

A) Broker Representative
B) Category Manager
C) Operations Manager
D) Trading Manager

4. The compliance regulation guide, submitted by an applicant for a license from the Authority, must set out procedures and mechanisms which will ensure that the compliance officer:

A) can appoint a deputy during an unplanned absence
B) can report confidentially to the regulator
C) is able to suspend operations in an emergency
D) has access to sufficient resources

5. When a company applies to become a Special Purpose Acquisition Company, its sponsors must prepare proposals to:

A) identify potential money laundering
B) manage conflicts of interest
C) reduce the risk to investors
D) deal with succession planning

Solutions: