Passing exam with UAE-Financial-Rules-and-Regulations latest training materials
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Updated: Jul 09, 2026
No. of Questions: 102 Questions & Answers with Testing Engine
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CISI UAE Financial Rules and Regulations Sample Questions:
1. Which of the following financial activities comes under the fifth category licence?
A) Credit rating agencies
B) Arrangement and advice
C) Dealing in securities
D) Dealing in investments
2. What is the minimum fine that can be levied on a person found guilty of financing an illegal organisation?
A) AED 250,000
B) AED 150,000
C) AED 200,000
D) AED 300,000
3. An obligor with a retail primary listing of Sukuk immediately notified the Authority when one of its board directors was replaced. Why was the obligor considered to be in breach of its continuing obligations?
A) The new director held a foreign passport
B) The obligor failed to give 14 days' notice
C) The obligor failed to also notify the market
D) The new director had less than 5 years' experience
4. Where a local investment fund is established by an entity licensed to conduct family investment management, what minimum proportion of the units must be owned by family members?
A) 100%
B) 90%
C) 75%
D) 51%
5. If the two evaluators for an in-kind share transfer produce different fair value figures, what figure must be used?
A) The average of the two amounts
B) The one produced by the most experienced evaluator
C) The lowest one
D) The highest one
Solutions:
| Question # 1 Answer: A | Question # 2 Answer: B | Question # 3 Answer: C | Question # 4 Answer: B | Question # 5 Answer: A |
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