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Updated: Jul 10, 2026
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CISI UAE Financial Rules and Regulations Sample Questions:
1. Why would a transaction to purchase securities be declared null and void?
A) The investor has a conviction of an offence of dishonour
B) It was the result of a rumour being spread
C) The Authority has levied a penalty for delay of payment
D) The individual is a former employee
2. The whistleblowing policy submitted by an applicant for a financial activities licence must include a mechanism for:
A) escalating any reports to board level
B) ensuring all staff have a named reporting contact
C) protecting the reporting employee
D) disciplining staff proven to have breached rules
3. 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) Three years
B) Ten years
C) Seven years
D) Five years
4. The conciliation process allows the Authority to impose what alternative to criminal prosecution?
A) Negotiated out-of-court settlement
B) Suspension of activities for a specified period
C) Referral to the Central Bank
D) Payment of a prescribed amount of money
5. 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) an impact assessment gives acceptable results
B) the correction is within a 5% error margin
C) an alteration fee is paid at the same time
D) the circumstances are considered to be exceptional
Solutions:
| Question # 1 Answer: B | Question # 2 Answer: C | Question # 3 Answer: D | Question # 4 Answer: A | Question # 5 Answer: D |
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