Practice UAE-Financial-Rules-and-Regulations Exam Online

Question 1

If an error in the final cash settlement price of an equity index comes to the attention of the Exchange more than 30 minutes after the publication of the final cash settlement price, what happens?

A : No correction will be made

B : The provider will correct it

C : It will be re-determined

D : Liability is apportioned

Answer: A

Question 2

Under what circumstances must licensed entities provide the Authority with copies of appropriateness reports issued to clients?

A : Routinely on a monthly basis

B : Routinely on a quarterly basis

C : Only if a complaint is made

D : Only if requested by them to do so

Answer: D

Question 3

Why would the Authority board resolve temporarily to halt trading in the shares of any company?

A : A written complaint is made relating to a market activity

B : A threat to the proper and regular working of that market arises

C : It transpires that the spouse of a board member is a director of that entity

D : It does not have the technical equipment necessary to conduct its activity electronically

Answer: B

Question 4

When establishing a local investment fund, how much are the founders required to subscribe?

A : At least 1 million dirhams

B : At least 5 million dirhams

C : At least 10 million dirhams

D : At least 20 million dirhams

Answer: C

Question 5

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 : Client agreements and selling orders only

B : Selling orders and accounts only

C : Accounts and client agreements only

D : Client agreements, selling orders and accounts

Answer: D

Name:	CISI UAE Financial Rules and Regulations
Exam Code:	UAE-Financial-Rules-and-Regulations
Certification:	CISI Certifications
Vendor:	CISI
Total Questions:	100
Last Updated:	Sep 29, 2026

CISI UAE-Financial-Rules-and-Regulations Answers