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

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

CISI UAE Financial Rules and Regulations Sample Questions:

Question 1

A Special Purpose Acquisition Company deposited 95% of its public subscription proceeds into an escrow account. It is permitted to use this money to:

A. Fund the issue of additional shares
B. Hedge against adverse market movements
C. Finance an internal restructuring programme
D. Meet recovery requests by the investors

Question 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 order will be dealt with at the next trading session
C. the remaining unexecuted volume stays on the trading system, at the last executed price
D. the remaining unexecuted volume is cancelled and a new order is placed, at the last executed price

Question 3

A Special Purpose Acquisition Company deposited 95% of its public subscription proceeds into an escrow account. It is permitted to use this money to:

A. Fund the issue of additional shares
B. Hedge against adverse market movements
C. Finance an internal restructuring programme
D. Meet recovery requests by the investors

Question 4

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

Question 5

Where a brokerage firm on the DFM has a client with a debit balance, the regulations prevent the firm from:

A. providing investment advice to the client
B. accepting new orders from the client
C. selling securities on the client's behalf
D. paying any cash to the client

Solutions: