CISI UAE Financial Rules and Regulations - UAE-Financial-Rules-and-Regulations Exam Questions [2026]

QUESTION NO: 1
The minimum paid-up capital requirement for ranking and advice firms is:

A. AED 30 million B. AED 5 million C. none D. AED 50 million

Correct Answer: B

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QUESTION NO: 2
If a Special Purpose Acquisition Company fails to complete a business combination, measures to return the funds to investors must be taken within what maximum number of business days?

A. 10 B. 20 C. 25 D. 15

Correct Answer: B

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QUESTION NO: 3
The minimum price movement for a West Texas Intermediate (WTI) Light Sweet Oil Futures contract is:

A. USS 25 per barrel B. USS 1 per barrel C. LISS 0.01 per barrel D. USS 100 per barrel

Correct Answer: C

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QUESTION NO: 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. 5% B. 15% C. 3% D. 10%

Correct Answer: A

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QUESTION NO: 5
The role of the authorised agent of the exchange-traded fund (ETF) is to:

A. regularly announce the indicative value of the net value of assets B. announce the net value of the unit's assets on a daily basis C. ensure that the transfer of ownership of units is completed D. update sell and buy orders

Correct Answer: A

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QUESTION NO: 6
The Corporate Governance Guide automatically allows board members of public joint-stock companies to accept gifts up to what maximum stated value?

A. AED 100 B. AED 200 C. AED 300 D. AED 500

Correct Answer: C

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QUESTION NO: 7
The effectiveness of a financial institution's internal policies, controls and procedures to combat money laundering must be tested by:

A. the audit committee B. external consultants C. regular operational resilience exercises D. an independent audit function

Correct Answer: D

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QUESTION NO: 8
When promoting private funds, related materials must:

A. clarify the private fund's specific nature and include the required disclaimer laid down by the Authority B. receive prior approval of the content from the Authority C. refrain from using public advertisement media of certain types, including audio and video, with the exception of read media D. advise that the funds cannot be transferred to a third party

Correct Answer: A

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