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

CISI UAE Financial Rules and Regulations Sample Questions:

1. 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) 51%
C) 100%
D) 75%

2. A firm offering custody, clearing and recording, is required to have a minimum paid-up capital of:

A) AED 150 million
B) AED 100 million
C) AED 30 million
D) AED 50 million

3. Customer due diligence measures require management approval if the natural person involved is:

A) under the age of 21
B) normally resident outside the State
C) registered as disabled
D) a politically exposed person

4. A licensed person who conducts financial activities related to security tokens is required to carry out a suitability check only if:

A) the amount being invested exceeds AED 100,000
B) the client is not a qualified investor
C) the licensed person has less than 3 years' relevant experience
D) the token falls into the high risk category

5. Which of the following is an administrative penalty that can be imposed on financial institutions that violate the law and regulations in relation to money laundering and terrorism financing?

A) A penalty of no less than AED 100,000 and no more than AED 10,000,000 for each violation
B) A penalty of no less than AED 50,000 and no more than AED 5,000,000 for each violation
C) A penalty of no less than AED 15,000 and no more than AED 5,000,000 for each violation
D) A penalty of no less than AED 5,000 and no more than AED 1,000,000 for each violation

Solutions: