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Updated: Jun 03, 2026
No. of Questions: 102 Questions & Answers with Testing Engine
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CISI UAE Financial Rules and Regulations Sample Questions:
1. A good-till-cancelled order on the DFM will remain available for execution unless it is cancelled by:
A) the broker
B) the clearing member
C) the investor
D) the market committee
2. 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) 2.5%
B) 1.0%
C) 0.5%
D) 2.0%
3. Where a brokerage firm on the DFM has a client with a debit balance, the regulations prevent the firm from:
A) selling securities on the client's behalf
B) accepting new orders from the client
C) paying any cash to the client
D) providing investment advice to the client
4. When establishing a local investment fund, how much are the founders required to subscribe?
A) At least 10 million dirhams
B) At least 5 million dirhams
C) At least 20 million dirhams
D) At least 1 million dirhams
5. 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) full name of portfolio manager
B) nature of the entity, its legal form, type and capital
C) commercial register number and commercial licence
D) profession, exact address, PO Box and phone number
Solutions:
| Question # 1 Answer: C | Question # 2 Answer: B | Question # 3 Answer: B | Question # 4 Answer: A | Question # 5 Answer: D |
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