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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:

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. Managing a portfolio of securities
B. Administrative services for investment funds
C. Trading brokerage
D. Securities dealing

Question 2

Customer due diligence measures require management approval if the natural person involved is:

A. under the age of 21
B. normally resident outside the State
C. registered as disabled
D. a politically exposed person

Question 3

Firms providing investment management services must provide periodic statements to retail clients, in normal circumstances at least every:

A. 6 months
B. 12 months
C. month
D. 3 months

Question 4

An Insiders Register should be prepared for securities issued by:

A. The company, the parent company and its subsidiaries only
B. The company and parent company only
C. The company, the parent company, its subsidiaries or related companies
D. The company concerned only

Question 5

The DFM's Professional Code of Conduct requires brokerage firms to take reasonable steps to determine the identity of their clients. For corporate persons, this should include:

A. Profession, exact address, PO Box and phone number
B. Full name and nationality of any portfolio manager
C. Commercial register number and commercial licence
D. Nature of the entity, its legal form, type and capital

Solutions: