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CISI UAE Financial Rules and Regulations Sample Questions:

1. 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) Selling orders and accounts only
B) Accounts and client agreements only
C) Client agreements and selling orders only
D) Client agreements, selling orders and accounts

2. 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) Liability is apportioned
B) The provider will correct it
C) It will be re-determined
D) No correction will be made

3. If an issuer provides its shareholders with bonus shares, then the CSD Department will deposit the bonus shares issued in the account and will register them as a whole, round number. What happens in the case that there are fractions of shares?

A) These are also added to the shareholder's account
B) They are totalled up and put in a suspense account
C) The issuing company must sell them within 45 days
D) The issuing company must sell them within 30 days

4. An obligor with a retail primary listing of Sukuk immediately notified the Authority when one of its board directors was replaced. Why was the obligor considered to be in breach of its continuing obligations?

A) The new director had less than 5 years' experience
B) The obligor failed to give 14 days' notice
C) The obligor failed to also notify the market
D) The new director held a foreign passport

5. In cases where securities are bought and sold during the same trading session, the client must have in its cash account enough:

A) credit to cover the value of any losses
B) credit to cover the value of sale
C) credit to cover the value of purchase
D) securities to the value of purchase

Solutions: