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CISI UAE Financial Rules and Regulations Sample Questions:

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

A) commercial register number and commercial licence
B) full name of portfolio manager
C) profession, exact address, PO Box and phone number
D) nature of the entity, its legal form, type and capital

2. Which of the following financial activities comes under the fifth category licence?

A) Credit rating agencies
B) Dealing in securities
C) Arrangement and advice
D) Dealing in investments

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

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

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

5. When licence applicants submit behaviour regulations including a professional code of ethics, this falls under the category of:

A) employee regulation
B) administration regulation
C) governance regulation
D) technical system

Solutions: