Free CISI UAE-Financial-Rules-and-Regulations Practice Exam Questions and Answers 2026

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Total 100 Questions | Updated On: Apr 03, 2026

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Question 1

Under what circumstances must licensed entities provide the Authority with copies of appropriateness reports issued to clients?

A : Routinely on a monthly basis

B : Routinely on a quarterly basis

C : Only if a complaint is made

D : Only if requested by them to do so

Answer: D

Question 2

Why would the Authority board resolve temporarily to halt trading in the shares of any company?

A : A written complaint is made relating to a market activity

B : A threat to the proper and regular working of that market arises

C : It transpires that the spouse of a board member is a director of that entity

D : It does not have the technical equipment necessary to conduct its activity electronically

Answer: B

Question 3

A brokerage firm’s records include client agreements, selling orders and accounts. Under the Professional Code of Conduct, which of these does the DFM have the right to access and review?

A : Client agreements and selling orders only

B : Selling orders and accounts only

C : Accounts and client agreements only

D : Client agreements, selling orders and accounts

Answer: D

Question 4

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 increased by 50%

B : It is doubled

C : It is tripled

D : It is quadrupled

Answer: B

Question 5

When collecting data from official authorities, evaluators of investment fund in-kind shares are required to abide by the principles of honesty, justice and:

A : confidentiality

B : governance

C : equality

D : prudence

Answer: A

Page: 1 / 20

Total 100 Questions | Updated On: Apr 03, 2026

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