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Updated: Sep 06, 2025
No. of Questions: 102 Questions & Answers with Testing Engine
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CISI UAE Financial Rules and Regulations Sample Questions:
1. In cases where securities are bought and sold during the same trading session, the client must have in its cash account enough:
A) credit to cover the value of any losses
B) credit to cover the value of sale
C) securities to the value of purchase
D) credit to cover the value of purchase
2. Which of the following is an administrative penalty that can be imposed on financial institutions that violate the law and regulations in relation to money laundering and terrorism financing?
A) A penalty of no less than AED 5,000 and no more than AED 1,000,000 for each violation
B) A penalty of no less than AED 15,000 and no more than AED 5,000,000 for each violation
C) A penalty of no less than AED 100,000 and no more than AED 10,000,000 for each violation
D) A penalty of no less than AED 50,000 and no more than AED 5,000,000 for each violation
3. A real estate investment fund may borrow no more than what percentage of its total assets value?
A) 10%
B) 50%
C) 25%
D) 75%
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) Client agreements and selling orders only
C) Client agreements, selling orders and accounts
D) Selling orders and accounts only
5. 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%
Solutions:
| Question # 1 Answer: D | Question # 2 Answer: D | Question # 3 Answer: B | Question # 4 Answer: C | Question # 5 Answer: B |
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