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

CISI UAE Financial Rules and Regulations Sample Questions:

1. The Depository Centre must periodically report to the Authority on shareholders who hold more than what threshold percentage of equity in the Centre's capital?

A) 3%
B) 5%
C) 15%
D) 10%

2. The contract size for an MSCI India Index Futures (INR) contract is:

A) 50 index points x price
B) 25 index points x price
C) 20 index points x price
D) 5 index points x price

3. The policies of a firm applying for a financial activities licence must include arrangements to provide a copy of its complaints handling procedure to clients:

A) on request
B) within 24 hours of accepting the client
C) within 48 hours of accepting the client
D) on receipt of a complaint

4. The statement in a suitability report giving reasons for the recommendation must also indicate:

A) the extent to which the author is qualified to make this judgement
B) why the next best product or service was disregarded
C) whether or not the client has accepted this guidance
D) the client's ability to bear any risks and losses

5. The minimum price movement for an MSCI India Index Futures (INR) contract is:

A) US$1.00
B) US$0.01
C) 0.5 index points
D) 0.25 index points

Solutions: