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CISI UAE Financial Rules and Regulations Sample Questions:

1. If an offering person arranges the issuance of crypto assets for which funds have been subscribed by investors, controls must be set up to avoid:

A) subscriptions being taken at different threshold levels
B) subscriptions being taken at excessive levels from non-qualified investors
C) prices being allowed to fluctuate during the opening offer period
D) prices being determined at the discretion of the issuer

2. During a trading session, if an order is not fully executed, then:

A) the transaction is executed at the price set on the other side of the transaction
B) the remaining unexecuted volume is cancelled and a new order is placed, at the last executed price
C) the remaining unexecuted volume stays on the trading system, at the last executed price
D) the order will be dealt with at the next trading session

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 obligor failed to also notify the market
B) The new director had less than 5 years' experience
C) The new director held a foreign passport
D) The obligor failed to give 14 days' notice

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

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

5. During an investigation, what should a licensed body do if it discovers that any of the submitted documents or information are incorrect, misleading or have been changed?

A) Call an emergency Board meeting and thereafter notify the concerned entity at the Authority
B) The Chair and Board of Directors should notify the Authority and tender their resignations
C) Notify the concerned entity at the Authority or any of the capital market institutions within 5 working days
D) Notify the concerned entity at the Authority or any of the capital market institutions immediately

Solutions: