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CISI UAE Financial Rules and Regulations Sample Questions:
1. Where self-fund founders intend to accept in-kind shares, the fund prospectus must state whether these shares:
A) are to be valued subjectively
B) may subsequently be disposed of
C) will be held as capital assets of the fund
D) are consistent with the fund's investment strategy
2. In order to be authorised to deal in investments, which of the following professional roles would the Authority expect to see within the firm?
A) Operations Manager
B) Trading Manager
C) Compliance Officer
D) Broker Representative
3. When debt securities are offered through a public subscription, the offeror will be required to announce any replacement of the trustee:
A) within a maximum of 72 hours
B) within a maximum of 48 hours
C) immediately
D) after 5 working days
4. A licensed person who conducts financial activities related to security tokens is required to carry out a suitability check only if:
A) the client is not a qualified investor
B) the licensed person has less than 3 years' relevant experience
C) the token falls into the high risk category
D) the amount being invested exceeds AED 100,000
5. The watch list, which is monitored by an Authority-established committee, consists of which group of companies?
A) All private companies which have declared losses in the last 12 months
B) Companies in the second category
C) All public companies which have declared losses in the last 12 months
D) Companies in the first category
Solutions:
| Question # 1 Answer: D | Question # 2 Answer: D | Question # 3 Answer: A | Question # 4 Answer: A | Question # 5 Answer: C |
By Vincent
