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

  • Exam Code: UAE-Financial-Rules-and-Regulations
  • Exam Name: CISI UAE Financial Rules and Regulations Exam
  • Updated: Jun 01, 2026
  • Q&As: 102 Questions and Answers

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CISI UAE Financial Rules and Regulations Sample Questions:

1. During a trading session, if an order is not fully executed, then:

A) the transaction is executed at the price set on the other side of the transaction
B) the remaining unexecuted volume is cancelled and a new order is placed, at the last executed price
C) the order will be dealt with at the next trading session
D) the remaining unexecuted volume stays on the trading system, at the last executed price


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

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


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

A) Deposit not less than 100% of the public subscription proceeds within two business days of receipt
B) Deposit not less than 90% of the public subscription proceeds within two business days of receipt
C) Deposit not less than 90% of the public subscription proceeds within one business day of receipt
D) Deposit not less than 100% of the public subscription proceeds within one business day of receipt


4. If a discrepancy comes to light when conducting an external reconciliation, what must the firm do?

A) Immediately suspend operations with the third party
B) Immediately inform the regulator verbally and follow this up in writing
C) Close the client's account by close of business on the same day
D) Investigate and correct it as soon as possible


5. The disclosure of a licensed body's legal status, including the fact that it is licensed by the Authority, is important because:

A) it allows third party firms to use, utilise, or copy the Authority's logo for any reason and this reassures clients
B) it forces firms to disclose their regulatory status and that they are subject to the Authority's control and supervision
C) it enables those that might suffer from perceived or actual misbehaviour at the hands of a firm to raise their concerns with the regulator
D) it ensures that no clients suffer from perceived or actual misbehaviour at the hands of a firm which is regulated


Solutions:

Question # 1
Answer: D
Question # 2
Answer: C
Question # 3
Answer: D
Question # 4
Answer: D
Question # 5
Answer: C

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