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CISI UAE Financial Rules and Regulations Sample Questions:

1. A failure to report suspicions, or gross negligence in implementing processes and procedures in relation to suspicions of money laundering, can result in a fine of:

A) no less than AED 1,000,000 and no more than AED 10,000,000
B) no less than AED 100,000 and no more than AED 1,000,000
C) no less than AED 50,000 and no more than AED 1,000,000
D) no less than AED 100,000 and no more than AED 5,000,000

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

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

3. A licensed person who conducts financial activities related to security tokens is required to carry out a suitability check only if:

A) the amount being invested exceeds AED 100,000
B) the licensed person has less than 3 years' relevant experience
C) the client is not a qualified investor
D) the token falls into the high risk category

4. Which of the following features of a previous order can be changed with the order remaining valid?

A) Share category
B) Order type
C) Market
D) Volume

5. 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) 12 months
B) 6 months
C) 3 months
D) month

Solutions: