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Updated: Jul 12, 2026
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CISI UAE Financial Rules and Regulations Sample Questions:
1. The disclosure of a licensed body's legal status, including the fact that it is licensed by the Authority, is important because:
A) it allows third party firms to use, utilise, or copy the Authority's logo for any reason and this reassures clients
B) it forces firms to disclose their regulatory status and that they are subject to the Authority's control and supervision
C) it enables those that might suffer from perceived or actual misbehaviour at the hands of a firm to raise their concerns with the regulator
D) it ensures that no clients suffer from perceived or actual misbehaviour at the hands of a firm which is regulated
2. During a trading session, if an order is not fully executed, then:
A) the order will be dealt with at the next trading session
B) the remaining unexecuted volume is cancelled and a new order is placed, at the last executed price
C) the transaction is executed at the price set on the other side of the transaction
D) the remaining unexecuted volume stays on the trading system, at the last executed price
3. A joint-stock company applying for a licence to conduct clearing activities in a commodity market recently appointed a new chairman and a new CEO. Why did this lead to the application being refused?
A) They were supported by just three other board members
B) Only the CEO's compensation had been approved by the Authority
C) Only the chairman held a tranche of the company's shares
D) They had been employed by the company during the previous year
4. Anyone who notifies or warns a person in relation to suspicions, or reveals any transaction under review in relation to suspicions, is guilty of:
A) money laundering
B) tipping off
C) collusion
D) layering
5. Which of the following is one of the prescribed financial activities for which the Authority can issue a license?
A) Risk management
B) Analysis
C) Corporate planning
D) Promotion
Solutions:
| Question # 1 Answer: C | Question # 2 Answer: D | Question # 3 Answer: D | Question # 4 Answer: B | Question # 5 Answer: A |
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