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CISI UAE Financial Rules and Regulations Sample Questions:

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

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

2. Which of the following financial activities comes under the fifth category licence?

A) Dealing in securities
B) Credit rating agencies
C) Dealing in investments
D) Arrangement and advice

3. An applicant for a license from the Authority has submitted a feasibility study and work plan. What method will be used to evaluate this?

A) Comparison with the same sector
B) A stress testing exercise
C) An operational risk matrix
D) SWOT analysis

4. The minimum paid-up capital requirement for ranking and advice firms is:

A) AED 30 million
B) none
C) AED 5 million
D) AED 50 million

5. The statement in a suitability report giving reasons for the recommendation must also indicate:

A) the extent to which the author is qualified to make this judgement
B) the client's ability to bear any risks and losses
C) whether or not the client has accepted this guidance
D) why the next best product or service was disregarded

Solutions: