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CISI UAE-Financial-Rules-and-Regulations Exam Syllabus Topics:

CISI UAE Financial Rules and Regulations Sample Questions:

1. 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) protecting the reporting employee
C) disciplining staff proven to have breached rules
D) ensuring all staff have a named reporting contact

2. 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) protecting the reporting employee
C) disciplining staff proven to have breached rules
D) ensuring all staff have a named reporting contact

3. The contract size for trading in Silver Futures on the Dubai Gold & Commodities Exchange is 1,000 troy ounces of refined silver, plus or minus what prescribed margin?

A) 1%
B) 10%
C) 2%
D) 5%

4. During a trading session, if an order is not fully executed, then:

A) the transaction is executed at the price set on the other side of the transaction
B) the order will be dealt with at the next trading session
C) the remaining unexecuted volume stays on the trading system, at the last executed price
D) the remaining unexecuted volume is cancelled and a new order is placed, at the last executed price

5. Which of the following features of a previous order can be changed with the order remaining valid?

A) Share category
B) Volume
C) Order type
D) Market

Solutions: