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

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

CISI UAE Financial Rules and Regulations Sample Questions:

1. The watch list, which is monitored by an Authority-established committee, consists of which group of companies?

A) Companies in the first category
B) Companies in the second category
C) All public companies which have declared losses in the last 12 months
D) All private companies which have declared losses in the last 12 months

2. A vote carried out by the board of the Authority resulted in a tie. What happens in these circumstances?

A) The chairman or their deputy is granted the casting vote
B) The vote for the resolution is automatically carried
C) The vote against the resolution is automatically carried
D) The decision is postponed until another vote can be taken

3. The contract size for trading in Silver Futures on the Dubai Gold & Commodities Exchange is 1,000 troy ounces of refined silver, plus or minus what prescribed margin?

A) 2%
B) 10%
C) 5%
D) 1%

4. The effectiveness of a financial institution's internal policies, controls and procedures to combat money laundering must be tested by:

A) external consultants
B) the audit committee
C) an independent audit function
D) regular operational resilience exercises

5. If in-kind shares are provided when the fund is founded; if the subscription fails and there is no special agreement, who would bear the expenses?

A) Auditors
B) Evaluators
C) Share providers
D) Founders

Solutions: