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CISI UAE Financial Rules and Regulations Sample Questions:

1. Which of the following features of a previous order can be changed with the order remaining valid?

A) Order type
B) Market
C) Share category
D) Volume

2. The role of the authorised agent of the exchange-traded fund (ETF) is to:

A) ensure that the transfer of ownership of units is completed
B) regularly announce the indicative value of the net value of assets
C) announce the net value of the unit's assets on a daily basis
D) update sell and buy orders

3. Why would a transaction to purchase securities be declared null and void?

A) The individual is a former employee
B) The Authority has levied a penalty for delay of payment
C) The investor has a conviction of an offence of dishonour
D) It was the result of a rumour being spread

4. In order to be authorised to deal in investments, which of the following professional roles would the Authority expect to see within the firm?

A) Trading Manager
B) Broker Representative
C) Operations Manager
D) Compliance Officer

5. When licence applicants submit behaviour regulations including a professional code of ethics, this falls under the category of:

A) employee regulation
B) technical system
C) governance regulation
D) administration regulation

Solutions: