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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| UAE Financial Regulatory Framework | - Federal financial regulation structure
|
| Anti-Money Laundering and Financial Crime | - Financial crime prevention
|
| Financial Conduct and Compliance | - Compliance and supervision
|
| Regulatory Ethics and Professional Standards | - Regulatory accountability
|
CISI UAE Financial Rules and Regulations Sample Questions:
A failure to report suspicions, or gross negligence in implementing processes and procedures in relation to suspicions of money laundering, can result in a fine of:
- A. no less than AED 50,000 and no more than AED 1,000,000
- B. no less than AED 1,000,000 and no more than AED 10,000,000
- C. no less than AED 100,000 and no more than AED 1,000,000
- D. no less than AED 100,000 and no more than AED 5,000,000
Correct Answer: D 🗳️
Explanation: Only visible for VCE4Plus members. You can sign-up / login (it's free).
To qualify as a big block deal on the ADX's E-Trading system, the securities to be traded must be a minimum of what proportion of the issuer's capital?
- A. 0.5%
- B. 2.0%
- C. 2.5%
- D. 1.0%
Correct Answer: D 🗳️
Explanation: Only visible for VCE4Plus members. You can sign-up / login (it's free).
A key purpose of customer due diligence measures is to address the risk of:
- A. Cybercrime
- B. Embezzlement
- C. Money laundering
- D. Insider dealing
Correct Answer: C 🗳️
Explanation: Only visible for VCE4Plus members. You can sign-up / login (it's free).
If an offering person arranges the issuance of crypto assets for which funds have been subscribed by investors, controls must be set up to avoid:
- A. prices being allowed to fluctuate during the opening offer period
- B. prices being determined at the discretion of the issuer
- C. subscriptions being taken at different threshold levels
- D. subscriptions being taken at excessive levels from non-qualified investors
Correct Answer: D 🗳️
Explanation: Only visible for VCE4Plus members. You can sign-up / login (it's free).
If the two evaluators for an in-kind share transfer produce different fair value figures, what figure must be used?
- A. The highest one
- B. The average of the two amounts
- C. The lowest one
- D. The one produced by the most experienced evaluator
Correct Answer: B 🗳️
Explanation: Only visible for VCE4Plus members. You can sign-up / login (it's free).
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