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

CISI UAE Financial Rules and Regulations Sample Questions:

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

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

2. Unless otherwise agreed, a broker must submit to the client a statement of account that outlines the client's balance of securities and cash, and all transactions executed every:

A) 3 months
B) 12 months
C) 6 months
D) month

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

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

4. A brokerage firm's records include client agreements, selling orders and accounts. Under the Professional Code of Conduct, which of these does the DFM have the right to access and review?

A) Client agreements, selling orders and accounts
B) Accounts and client agreements only
C) Client agreements and selling orders only
D) Selling orders and accounts only

5. Each licence applicant must submit a risk management guide that includes:

A) the procedures and mechanisms that ensure that the responsible officer shall have access to all records
B) the mechanisms required to enable the compliance officer to have access to sufficient resources
C) development and implementation of policies and procedures
D) the procedures and mechanisms required to enable the internal auditor to act independently

Solutions: