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CISI UAE Financial Rules and Regulations Sample Questions:

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

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

2. If the mid-point is used to determine the theoretical auction price for a pre-closing session of the DFM, it is:

A) rounded up to the nearest price tick
B) rounded to two decimal places
C) rounded to one decimal place
D) rounded down to the nearest price tick

3. 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) subscriptions being taken at different threshold levels
B) prices being determined at the discretion of the issuer
C) prices being allowed to fluctuate during the opening offer period
D) subscriptions being taken at excessive levels from non-qualified investors

4. Why would a transaction to purchase securities be declared null and void?

A) The individual is a former employee
B) The Authority has levied a penalty for delay of payment
C) The investor has a conviction of an offence of dishonour
D) It was the result of a rumour being spread

5. If a Special Purpose Acquisition Company fails to complete a business combination, measures to return the funds to investors must be taken within what maximum number of business days?

A) 10
B) 20
C) 25
D) 15

Solutions: