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

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 3

Which of the following is one of the prescribed financial activities for which the Authority can issue a license?

A : Analysis

B : Promotion

C : Corporate planning

D : Risk management

Answer: D

Question 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 : 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

Question 5

When collecting data from official authorities, evaluators of investment fund in-kind shares are required to abide by the principles of honesty, justice and:

A : confidentiality

B : governance

C : equality

D : prudence

Answer: A

Name:	CISI UAE Financial Rules and Regulations
Exam Code:	UAE-Financial-Rules-and-Regulations
Certification:	CISI Certifications
Vendor:	CISI
Total Questions:	100
Last Updated:	Apr 02, 2026

CISI UAE-Financial-Rules-and-Regulations Answers