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

CISI UAE Financial Rules and Regulations Sample Questions:

1. On the Dubai Gold & Commodities Exchange, how many delivery months are available for trading in Dubai India Quanto Crude Oil futures?

A) 2
B) 18
C) 6
D) 12

2. The approved job for conducting securities dealing is:

A) Operations Manager
B) Broker Representative
C) Trading Manager
D) Category Manager

3. A public real estate investment fund must distribute at least what percentage of the achieved net profits every year, to the holders of its units?

A) 100%
B) 75%
C) 80%
D) 50%

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

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

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

Solutions: