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

CISI UAE Financial Rules and Regulations Sample Questions:

1. An applicant for a financial activities licence must have procedures in place to recover electronic records from the archive within what maximum period?

A) Three business days
B) Five business days
C) Four calendar days
D) Two calendar days

2. Applicants for an Authority licence must supply details covering the retention of employee data for what minimum period from the date of the last update?

A) Three years
B) Five years
C) Seven years
D) Ten years

3. Where a pledge request is submitted to the CSD Department, the details provided on the relevant form must include:

A) The reason for the arrangement
B) The duration of the arrangement
C) The agreed default option
D) The party entitled to the profits

4. Unless otherwise agreed, a broker must submit to the client a statement of account that outlines the client's balance of securities and cash, and all transactions executed every:

A) 6 months
B) 12 months
C) 3 months
D) month

5. Following an IPO, within how many business days from the date of the registration certificate issued by the Authority must the Special Purpose Acquisition Company submit a request to the market to list the shares and warrants issued by it?

A) One
B) Three
C) Five
D) Two

Solutions: