CISI UAE Financial Rules and Regulations - UAE-Financial-Rules-and-Regulations

CISI UAE-Financial-Rules-and-Regulations test insides dumps
  • Exam Code: UAE-Financial-Rules-and-Regulations
  • Exam Name: CISI UAE Financial Rules and Regulations Exam
  • Updated: Jun 19, 2026
  • Q & A: 102 Questions and Answers
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CISI UAE Financial Rules and Regulations Sample Questions:

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

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


2. If a listed company faces accumulated losses of 50% or more of capital, what is required to happen?

A) It is required to be audited more frequently
B) It is moved from a first category listing to a second category of listing
C) Its shares are suspended for at least six months
D) It is moved from a second category listing to a first category of listing


3. In order for the contents of a financial promotion which quotes yield figures to satisfy the clear, fair, and not misleading rule, it should:

A) give a balanced impression of both short and long term prospects
B) ensure all monetary examples are calculated to at least two decimal places
C) always assume the communication is intended for a retail client
D) make the promotion available simultaneously in printed form and online


4. A brokerage firm's records include client agreements, selling orders and accounts. Under the Professional Code of Conduct, which of these does the DFM have the right to access and review?

A) Accounts and client agreements only
B) Selling orders and accounts only
C) Client agreements, selling orders and accounts
D) Client agreements and selling orders only


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

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


Solutions:

Question # 1
Answer: C
Question # 2
Answer: B
Question # 3
Answer: A
Question # 4
Answer: C
Question # 5
Answer: B

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