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Updated: Jul 09, 2026
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CISI UAE Financial Rules and Regulations Sample Questions:
1. When a company applies to become a Special Purpose Acquisition Company, its sponsors must prepare proposals to:
A) deal with succession planning
B) manage conflicts of interest
C) identify potential money laundering
D) reduce the risk to investors
2. A good-till-cancelled order on the DFM will remain available for execution unless it is cancelled by:
A) the market committee
B) the investor
C) the broker
D) the clearing member
3. 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) Accounts and client agreements only
B) Selling orders and accounts only
C) Client agreements and selling orders only
D) Client agreements, selling orders and accounts
4. The watch list, which is monitored by an Authority-established committee, consists of which group of companies?
A) All public companies which have declared losses in the last 12 months
B) Companies in the first category
C) Companies in the second category
D) All private companies which have declared losses in the last 12 months
5. 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) They are totalled up and put in a suspense account
B) The issuing company must sell them within 45 days
C) The issuing company must sell them within 30 days
D) These are also added to the shareholder's account
Solutions:
| Question # 1 Answer: B | Question # 2 Answer: B | Question # 3 Answer: D | Question # 4 Answer: A | Question # 5 Answer: A |
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