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

CISI UAE Financial Rules and Regulations Sample Questions:

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

2. Anyone who notifies or warns a person in relation to suspicions, or reveals any transaction under review in relation to suspicions, is guilty of:

A) tipping off
B) layering
C) money laundering
D) collusion

3. Where a client is a legal person, the customer due diligence obligations require verification of identity for any natural persons holding what minimum controlling ownership interest?

A) 10%
B) 51%
C) 25%
D) 3%

4. Why would the Authority board resolve temporarily to halt trading in the shares of any company?

A) It does not have the technical equipment necessary to conduct its activity electronically
B) A threat to the proper and regular working of that market arises
C) It transpires that the spouse of a board member is a director of that entity
D) A written complaint is made relating to a market activity

5. The Depository Centre must periodically report to the Authority on shareholders who hold more than what threshold percentage of equity in the Centre's capital?

A) 10%
B) 5%
C) 15%
D) 3%

Solutions: