CISI UAE-Financial-Rules-and-Regulations : CISI UAE Financial Rules and Regulations Exam

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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:

CISI UAE Financial Rules and Regulations Sample Questions:

Question #1
In a ranking and advice firm, which approved job role would undertake the activities of a listing consultant?

A. Trading and Clearing Broker
B. Broker Representative
C. Financial Analyst
D. Compliance Officer

Question #2
A Special Purpose Acquisition Company which wants to make its shares available to the public intends to appoint a risk consultant, a listing consultant and a financial consultant. Which of these appointments is required under the regulations?

A. Risk consultant and listing consultant only
B. Risk consultant, listing consultant and financial consultant
C. Listing consultant and financial consultant only
D. Financial consultant and risk consultant only

Question #3
When a company applies to become a Special Purpose Acquisition Company, its sponsors must prepare proposals to:

A. deal with succession planning
B. identify potential money laundering
C. manage conflicts of interest
D. reduce the risk to investors

Question #4
Customer due diligence measures require management approval if the natural person involved is:

A. a politically exposed person
B. registered as disabled
C. normally resident outside the State
D. under the age of 21

Question #5
The compliance regulation guide, submitted by an applicant for a license from the Authority, must set out procedures and mechanisms which will ensure that the compliance officer:

A. can report confidentially to the regulator
B. can appoint a deputy during an unplanned absence
C. has access to sufficient resources
D. is able to suspend operations in an emergency

Solutions: