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CISI UAE Financial Rules and Regulations Sample Questions:

1. The whistleblowing policy submitted by an applicant for a financial activities licence must include a mechanism for:

A) escalating any reports to board level
B) ensuring all staff have a named reporting contact
C) disciplining staff proven to have breached rules
D) protecting the reporting employee

2. In what circumstances can the requirement for licensed bodies to disclose their legal status be waived?

A) A court case against the licensed body is in progress
B) A significant market correction is taking place
C) A takeover bid for the licensed body has been launched
D) An emergency has been notified to the Authority

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

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

4. DFM brokerage firms are required to ensure that employees have appropriate professional experience if they:

A) are new to the company or the industry
B) are on full-time or substantial part-time contracts
C) are employed to operate an electronic trading or clearing system
D) are employed to deal with clients or on their behalf

5. The compliance regulation guide, submitted by an applicant for a license from the Authority, must set out procedures and mechanisms which will ensure that the compliance officer:

A) can report confidentially to the regulator
B) has access to sufficient resources
C) can appoint a deputy during an unplanned absence
D) is able to suspend operations in an emergency

Solutions: