CISI UAE Financial Rules and Regulations - UAE-Financial-Rules-and-Regulations Exam Practice Test
If the two evaluators for an in-kind share transfer produce different fair value figures, what figure must be used?
Correct Answer: A
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A Special Purpose Acquisition Company which wants to make its shares available to the public intends to appoint a risk consultant, a listing consultant and a financial consultant. Which of these appointments is required under the regulations?
Correct Answer: B
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In what circumstances can the requirement for licensed bodies to disclose their legal status be waived?
Correct Answer: B
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An Insiders Register should be prepared for securities issued by:
Correct Answer: A
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What proportion of the market value of securities owned by a brokerage company are used to increase the value of its guarantee?
Correct Answer: B
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When debt securities are offered through a public subscription, the offeror will be required to announce any replacement of the trustee:
Correct Answer: C
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Where a financial analyst wants to conduct a personal transaction which relates to investment research being undertaken, what additional requirement is normally imposed?
Correct Answer: D
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The Authority will only grant a licence to operate a crypto fundraising platform in the UAE if the applicant is a legal person in the form of:
Correct Answer: C
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