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CISI UAE Financial Rules and Regulations Sample Questions:

1. For all local funds, a semi-annual report on the public fund's performance must be prepared no later than:

A) 45 days from the end of the semi-annual period
B) 30 days from the end of the financial year
C) 2 months from the end of the semi-annual period
D) 2 months from the end of the financial year

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

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

3. What is the minimum fine that can be levied on a person found guilty of financing an illegal organisation?

A) AED 250,000
B) AED 300,000
C) AED 200,000
D) AED 150,000

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

5. The effectiveness of a financial institution's internal policies, controls and procedures to combat money laundering must be tested by:

A) an independent audit function
B) external consultants
C) regular operational resilience exercises
D) the audit committee

Solutions: