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: Dec 17, 2025

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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

Following a public subscription, what must a Special Purpose Acquisition Company do with the proceeds?

A : Deposit not less than 90% of the public subscription proceeds within one business day of receipt

B : Deposit not less than 90% of the public subscription proceeds within two business days of receipt

C : Deposit not less than 100% of the public subscription proceeds within one business day of receipt

D : Deposit not less than 100% of the public subscription proceeds within two business days of receipt

Answer: C

Question 3

When establishing a local investment fund, how much are the founders required to subscribe?

A : At least 1 million dirhams

B : At least 5 million dirhams

C : At least 10 million dirhams

D : At least 20 million dirhams

Answer: C

Question 4

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 5

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

A : Analysis

B : Promotion

C : Corporate planning

D : Risk management

Answer: D

Page: 1 / 20

Total 100 Questions | Updated On: Dec 17, 2025

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