CISI UAE-Financial-Rules-and-Regulations Q&A - in .pdf

  • Exam Code: UAE-Financial-Rules-and-Regulations
  • Exam Name: CISI UAE Financial Rules and Regulations Exam
  • Updated: Jun 30, 2026
  • Q & A: 102 Questions and Answers
  • PDF Price: $59.98
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  • Exam Code: UAE-Financial-Rules-and-Regulations
  • Exam Name: CISI UAE Financial Rules and Regulations Exam
  • Updated: Jun 30, 2026
  • Q & A: 102 Questions and Answers
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CISI UAE Financial Rules and Regulations Sample Questions:

1. For all local funds, a semi-annual report on the public fund's performance must be prepared no later than:

A) 30 days from the end of the financial year
B) 2 months from the end of the financial year
C) 2 months from the end of the semi-annual period
D) 45 days from the end of the semi-annual period


2. If there is a material change in the nature of the relevant software, the regulations state that investors who have accepted an offer of crypto assets must be notified:

A) within no less than 7 days
B) promptly in advance
C) within no less than 14 days
D) immediately after implementation


3. When a company applies to become a Special Purpose Acquisition Company, its sponsors must prepare proposals to:

A) manage conflicts of interest
B) reduce the risk to investors
C) deal with succession planning
D) identify potential money laundering


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

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


5. The last trading day for an India Gold Quanto Futures contract is:

A) the 25th calendar day of the delivery month
B) four business days prior to the 25th calendar day of the delivery month
C) one business day prior to the last business day of the delivery month
D) two business days prior to the last business day of the delivery month


Solutions:

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

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