CISI UAE-Financial-Rules-and-Regulations Questions & Answers - in .pdf
- Vendor: CISI
- Exam Code: UAE-Financial-Rules-and-Regulations
- Exam Name: CISI UAE Financial Rules and Regulations Exam
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CISI UAE-Financial-Rules-and-Regulations Exam Overview:
| Certification Vendor: | CISI |
|---|---|
| Exam Name: | CISI UAE Financial Rules and Regulations Exam |
| Exam Number: | UAE-Financial-Rules-and-Regulations |
| Available Languages: | English |
| Recommended Training: | CISI Learning and Qualifications |
| Exam Registration: | CISI Official Website |
| Sample Questions: | CISI UAE-Financial-Rules-and-Regulations Sample Questions |
| Exam Way: | Typically delivered via CISI approved examination centers or online proctored delivery (varies by region and provider arrangement). |
| Pre Condition: | No formal prerequisite specified; recommended basic understanding of financial services regulation. |
| Official Syllabus URL: | https://www.cisi.org |
CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Regulatory Ethics and Professional Standards | - Regulatory accountability
|
| UAE Financial Regulatory Framework | - Securities and investment regulation
|
| Financial Conduct and Compliance | - Compliance and supervision
|
| Anti-Money Laundering and Financial Crime | - Financial crime prevention
|
CISI UAE Financial Rules and Regulations Sample Questions:
Question #1
One of the financial activities included within "dealing in investment" and expected to be conducted by a Financial Analyst is:
A. Trading brokerage
B. Managing a portfolio of securities
C. Administrative services for investment funds
D. Securities dealing
Question #2
What are brokerage firms able to do during the closing session?
A. Enter new orders
B. Make enquiries
C. Adjust orders
D. Cancel orders
Question #3
Which of the following financial activities comes under the fifth category licence?
A. Credit rating agencies
B. Arrangement and advice
C. Dealing in investments
D. Dealing in securities
Question #4
A Special Purpose Acquisition Company deposited 95% of its public subscription proceeds into an escrow account. It is permitted to use this money to:
A. Finance an internal restructuring programme
B. Meet recovery requests by the investors
C. Hedge against adverse market movements
D. Fund the issue of additional shares
Question #5
Where an applicant for a financial activities licence uses a cloud-based server, they must set out provisions to ensure the outsourced party can operate with zero data loss for what stated period?
A. Five years
B. Three years
C. Ten years
D. Seven years
Solutions:
| Question #1 Correct Answer: B | Question #2 Correct Answer: B | Question #3 Correct Answer: A | Question #4 Correct Answer: B | Question #5 Correct Answer: A |
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