Purchase CISI : UAE-Financial-Rules-and-Regulations Exam Materials and then pass exam easily
Updated: Jun 17, 2026
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CISI UAE Financial Rules and Regulations Sample Questions:
1. The minimum paid-up capital requirement for ranking and advice firms is:
A) AED 5 million
B) AED 30 million
C) AED 50 million
D) none
2. Which of the following is a sanction available to the Authority in the event of a violation of its provisions?
A) Suspend any financial activity practised during an investigation
B) Impose a financial fine of not more than AED 100,000
C) Impose a financial fine of not less than AED 100,000
D) Suspend the licensed body for a period of two years
3. Where a brokerage firm on the DFM has a client with a debit balance, the regulations prevent the firm from:
A) paying any cash to the client
B) providing investment advice to the client
C) selling securities on the client's behalf
D) accepting new orders from the client
4. If an issuer provides its shareholders with bonus shares, then the CSD Department will deposit the bonus shares issued in the account and will register them as a whole, round number. What happens in the case that there are fractions of shares?
A) These are also added to the shareholder's account
B) The issuing company must sell them within 45 days
C) The issuing company must sell them within 30 days
D) They are totalled up and put in a suspense account
5. The watch list, which is monitored by an Authority-established committee, consists of which group of companies?
A) All public companies which have declared losses in the last 12 months
B) Companies in the first category
C) Companies in the second category
D) All private companies which have declared losses in the last 12 months
Solutions:
| Question # 1 Answer: A | Question # 2 Answer: C | Question # 3 Answer: D | Question # 4 Answer: D | Question # 5 Answer: A |
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