CISI UAE-Financial-Rules-and-Regulations Valid Test : CISI UAE Financial Rules and Regulations Exam

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

2. The minimum paid-up capital requirement for ranking and advice firms is:

A) AED 5 million
B) none
C) AED 50 million
D) AED 30 million

3. Which category of firm is required to provide accounts using a 'Unified Centralised Back Office System'?

A) Category 3 - Custody, clearing and recording
B) Category 2 - Dealing in investments
C) Category 1 - Dealing in securities
D) Category 4 - Credit rating agencies

4. Where a private equity fund is to be incorporated, the incorporation agreement must include a statement indicating:

A) whether the limited partners can influence investment management
B) who bears main responsibility for regulatory compliance
C) who will be appointed auditor for the fund
D) whether the investment management will be outsourced

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

Solutions: