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CISI UAE Financial Rules and Regulations Sample Questions:

1. Which of the following is a sanction available to the Authority in the event of a violation of its provisions?

A) Suspend the licensed body for a period of two years
B) Impose a financial fine of not less than AED 100,000
C) Suspend any financial activity practised during an investigation
D) Impose a financial fine of not more than AED 100,000

2. A fund manager is considering investing in medium-term bonds, commercial papers, and deposit certificates.
Under the regulations, which of these can be held under a cash investment fund?

A) Commercial papers and deposit certificates only
B) Medium-term bonds and commercial papers only
C) Deposit certificates and medium-term bonds only
D) Medium-term bonds, commercial papers and deposit certificates

3. The statement in a suitability report giving reasons for the recommendation must also indicate:

A) whether or not the client has accepted this guidance
B) the extent to which the author is qualified to make this judgement
C) why the next best product or service was disregarded
D) the client's ability to bear any risks and losses

4. A key reason why the regulator applies financial promotion rules is to ensure that:

A) the impact of operational risk is avoided
B) the customers are treated fairly
C) the available product range is maximised
D) the market is kept competitive

5. Which of the following acts is considered to constitute the crime of money laundering?

A) Acquiring, possessing or using proceeds from an unverified source
B) Investigating internal reports where concerns of illegal activities are raised by staff
C) Investigating or checking on the true nature, source or location of proceeds as well as the method involving their ownership
D) Transferring or moving proceeds or conducting any transaction with the aim of highlighting or opening their source to scrutiny

Solutions: