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CISI UAE Financial Rules and Regulations Sample Questions:

1. The minimum paid-up capital requirement for ranking and advice firms is:

A) AED 50 million
B) AED 30 million
C) AED 5 million
D) none

2. If an issuer provides its shareholders with bonus shares, then the CSD Department will deposit the bonus shares issued in the account and will register them as a whole, round number. What happens in the case that there are fractions of shares?

A) The issuing company must sell them within 45 days
B) They are totalled up and put in a suspense account
C) These are also added to the shareholder's account
D) The issuing company must sell them within 30 days

3. Where a financial analyst wants to conduct a personal transaction which relates to investment research being undertaken, what additional requirement is normally imposed?

A) Signing of a guarantee undertaking
B) Approval from the firm's legal or compliance department
C) Signing of a non-conflict disclaimer
D) Approval from the Authority or Central Bank

4. In which circumstances might lawyers, notary publics, other legal stakeholders and independent legal auditors be exempt from suspicious transaction reporting requirements?

A) When advising on financial transactions for politically exposed persons
B) When providing legal opinion with regards to legal proceedings
C) When conducting real estate transactions within the UAE
D) When providing services relating to beneficiaries of insurance policies

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

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

Solutions: