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

  • Exam Code: UAE-Financial-Rules-and-Regulations
  • Exam Name: CISI UAE Financial Rules and Regulations Exam
  • Updated: Jun 30, 2026     Q & A: 102 Questions and Answers

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CISI UAE Financial Rules and Regulations Sample Questions:

1. If an issuer provides its shareholders with bonus shares, then the CSD Department will deposit the bonus shares issued in the account and will register them as a whole, round number. What happens in the case that there are fractions of shares?

A) The issuing company must sell them within 45 days
B) The issuing company must sell them within 30 days
C) These are also added to the shareholder's account
D) They are totalled up and put in a suspense account


2. Which category of firm is required to provide accounts using a 'Unified Centralised Back Office System'?

A) Category 3 - Custody, clearing and recording
B) Category 2 - Dealing in investments
C) Category 1 - Dealing in securities
D) Category 4 - Credit rating agencies


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

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


4. Under what circumstances, if any, is an introducer allowed to provide an investor with financial analysis?

A) Only if no recommendations are made
B) Only if it is licensed to do so
C) Only if the client proactively requests one
D) Under no circumstances


5. 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) an independent audit function
C) external consultants
D) regular operational resilience exercises


Solutions:

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

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