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CISI UAE Financial Rules and Regulations Sample Questions:

1. If a discrepancy comes to light when conducting an external reconciliation, what must the firm do?

A) Immediately suspend operations with the third party
B) Immediately inform the regulator verbally and follow this up in writing
C) Investigate and correct it as soon as possible
D) Close the client's account by close of business on the same day

2. Where a brokerage firm on the DFM has a client with a debit balance, the regulations prevent the firm from:

A) providing investment advice to the client
B) paying any cash to the client
C) accepting new orders from the client
D) selling securities on the client's behalf

3. When updating their money laundering compliance framework, firms involved in crypto assets are required to take into account the recommendations of which body?

A) Bank for International Settlements
B) Financial Action Task Force
C) United Nations Office on Drugs and Crime
D) World Bank

4. Where a local investment fund is established by an entity licensed to conduct family investment management, what minimum proportion of the units must be owned by family members?

A) 90%
B) 51%
C) 100%
D) 75%

5. Customer due diligence measures require management approval if the natural person involved is:

A) under the age of 21
B) a politically exposed person
C) registered as disabled
D) normally resident outside the State

Solutions: