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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Anti-Money Laundering and Financial Crime | - Financial crime prevention
|
| Financial Conduct and Compliance | - Conduct of business standards
|
| Regulatory Ethics and Professional Standards | - Ethical standards in financial services
|
| UAE Financial Regulatory Framework | - Securities and investment regulation
|
CISI UAE Financial Rules and Regulations Sample Questions:
1. When collecting data from official authorities, evaluators of investment fund in-kind shares are required to abide by the principles of honesty, justice and:
A) governance
B) equality
C) confidentiality
D) prudence
2. Each licence applicant must submit a risk management guide that includes:
A) the mechanisms required to enable the compliance officer to have access to sufficient resources
B) the procedures and mechanisms required to enable the internal auditor to act independently
C) the procedures and mechanisms that ensure that the responsible officer shall have access to all records
D) development and implementation of policies and procedures
3. Why would the Authority board resolve temporarily to halt trading in the shares of any company?
A) It does not have the technical equipment necessary to conduct its activity electronically
B) A threat to the proper and regular working of that market arises
C) It transpires that the spouse of a board member is a director of that entity
D) A written complaint is made relating to a market activity
4. The Authority will only grant a licence to operate a crypto fundraising platform in the UAE if the applicant is a legal person in the form of:
A) an exchange licensed by the Authority in the UAE
B) a sophisticated trader or a qualified investor
C) an exchange licensed by a market in the UAE
D) a company incorporated under Shariah law
5. When a company applies to become a Special Purpose Acquisition Company, its sponsors must prepare proposals to:
A) reduce the risk to investors
B) identify potential money laundering
C) deal with succession planning
D) manage conflicts of interest
Solutions:
| Question # 1 Answer: C | Question # 2 Answer: D | Question # 3 Answer: B | Question # 4 Answer: A | Question # 5 Answer: D |

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