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

2. The conciliation process allows the Authority to impose what alternative to criminal prosecution?

A) Payment of a prescribed amount of money
B) Referral to the Central Bank
C) Suspension of activities for a specified period
D) Negotiated out-of-court settlement

3. The whistleblowing policy submitted by an applicant for a financial activities licence must include a mechanism for:

A) escalating any reports to board level
B) disciplining staff proven to have breached rules
C) ensuring all staff have a named reporting contact
D) protecting the reporting employee

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

5. The approved job for conducting securities dealing is:

A) Category Manager
B) Operations Manager
C) Trading Manager
D) Broker Representative

Solutions: