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

UAE-Financial-Rules-and-Regulations real exams

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

Exam Name: CISI UAE Financial Rules and Regulations Exam

Updated: Jun 01, 2026

Q & A: 102 Questions and Answers

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CISI UAE Financial Rules and Regulations Sample Questions:

1. When updating their money laundering compliance framework, firms involved in crypto assets are required to take into account the recommendations of which body?

A) World Bank
B) Bank for International Settlements
C) Financial Action Task Force
D) United Nations Office on Drugs and Crime


2. If the perpetrator of a money laundering crime is a repeat offender, what impact does this have on the minimum fine compared to a first offence?

A) It is doubled
B) It is increased by 50%
C) It is tripled
D) It is quadrupled


3. What does the Authority usually do before deciding to delist a company's shares?

A) Consult with the relevant market
B) Issue an improvement notice of 30 days
C) Issue a fine for payment within 30 days
D) Consult with the relevant firm


4. 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) 15%
B) 5%
C) 3%
D) 10%


5. Which of the following financial activities comes under the fifth category licence?

A) Dealing in investments
B) Credit rating agencies
C) Arrangement and advice
D) Dealing in securities


Solutions:

Question # 1
Answer: C
Question # 2
Answer: A
Question # 3
Answer: B
Question # 4
Answer: B
Question # 5
Answer: B

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