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CISI UAE Financial Rules and Regulations Sample Questions:

1. When promoting private funds, related materials must:

A) advise that the funds cannot be transferred to a third party
B) receive prior approval of the content from the Authority
C) refrain from using public advertisement media of certain types, including audio and video, with the exception of read media
D) clarify the private fund's specific nature and include the required disclaimer laid down by the Authority

2. Which of the following is one of the prescribed financial activities for which the Authority can issue a license?

A) Promotion
B) Corporate planning
C) Analysis
D) Risk management

3. Where a private equity fund is to be incorporated, the incorporation agreement must include a statement indicating:

A) whether the investment management will be outsourced
B) who bears main responsibility for regulatory compliance
C) whether the limited partners can influence investment management
D) who will be appointed auditor for the fund

4. Why would a transaction to purchase securities be declared null and void?

A) It was the result of a rumour being spread
B) The Authority has levied a penalty for delay of payment
C) The investor has a conviction of an offence of dishonour
D) The individual is a former employee

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

Solutions: