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CISI UAE Financial Rules and Regulations Sample Questions:

1. Where a brokerage firm on the DFM has a client with a debit balance, the regulations prevent the firm from:

A) selling securities on the client's behalf
B) accepting new orders from the client
C) paying any cash to the client
D) providing investment advice to the client

2. A public joint-stock company is automatically prevented by the regulations from executing a buyback transaction if it:

A) was incorporated in the last three years
B) issued shares in a public offer in the last six months
C) has been designated a company of State importance
D) is formally classed as an insurance company

3. Where a local investment fund is established by an entity licensed to conduct family investment management, what minimum proportion of the units must be owned by family members?

A) 90%
B) 100%
C) 51%
D) 75%

4. What proportion of the market value of securities owned by a brokerage company are used to increase the value of its guarantee?

A) 50%
B) 70%
C) 80%
D) 60%

5. The minimum paid-up capital requirement for ranking and advice firms is:

A) AED 5 million
B) AED 30 million
C) AED 50 million
D) none

Solutions: