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

CISI UAE Financial Rules and Regulations Sample Questions:

1. 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) The provider will correct it
B) It will be re-determined
C) Liability is apportioned
D) No correction will be made

2. Where an applicant for a financial activities licence uses a cloud-based server, they must set out provisions to ensure the outsourced party can operate with zero data loss for what stated period?

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

3. An error was made by a broker which led to a trade being conducted using the wrong trading account number.
If the trader submitted a request to have the number amended 40 minutes after the end of the trading session, the amendment would only be made if:

A) the circumstances are considered to be exceptional
B) an alteration fee is paid at the same time
C) an impact assessment gives acceptable results
D) the correction is within a 5% error margin

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

A) Corporate planning
B) Analysis
C) Risk management
D) Promotion

5. The conciliation process allows the Authority to impose what alternative to criminal prosecution?

A) Payment of a prescribed amount of money
B) Negotiated out-of-court settlement
C) Referral to the Central Bank
D) Suspension of activities for a specified period

Solutions: