Free CISI UAE-Financial-Rules-and-Regulations Exam Questions

Become CISI Certified with updated UAE-Financial-Rules-and-Regulations exam questions and correct answers

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Total 100 Questions | Updated On: Aug 20, 2026

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Question 1

Why would the Authority board resolve temporarily to halt trading in the shares of any company?

A : A written complaint is made relating to a market activity

B : A threat to the proper and regular working of that market arises

C : It transpires that the spouse of a board member is a director of that entity

D : It does not have the technical equipment necessary to conduct its activity electronically

Answer: B

Question 2

If the perpetrator of a money laundering crime is a repeat offender, what impact does this have on the minimum fine compared to a first offence?

A : It is increased by 50%

B : It is doubled

C : It is tripled

D : It is quadrupled

Answer: B

Question 3

When collecting data from official authorities, evaluators of investment fund in-kind shares are required to abide by the principles of honesty, justice and:

A : confidentiality

B : governance

C : equality

D : prudence

Answer: A

Question 4

If an error in the final cash settlement price of an equity index comes to the attention of the Exchange more than 30 minutes after the publication of the final cash settlement price, what happens?

A : No correction will be made

B : The provider will correct it

C : It will be re-determined

D : Liability is apportioned

Answer: A

Question 5

If the perpetrator of a money laundering crime is a repeat offender, what impact does this have on the minimum fine compared to a first offence?

A : It is increased by 50%

B : It is doubled

C : It is tripled

D : It is quadrupled

Answer: B

Page: 1 / 20

Total 100 Questions | Updated On: Aug 20, 2026

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