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Last Updated: Jun 02, 2026

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CISI UAE Financial Rules and Regulations Sample Questions:

1. Unless otherwise agreed, a broker must submit to the client a statement of account that outlines the client's balance of securities and cash, and all transactions executed every:

A) 12 months
B) 6 months
C) 3 months
D) month


2. If the two evaluators for an in-kind share transfer produce different fair value figures, what figure must be used?

A) The average of the two amounts
B) The one produced by the most experienced evaluator
C) The lowest one
D) The highest one


3. Where a client is a legal person, the customer due diligence obligations require verification of identity for any natural persons holding what minimum controlling ownership interest?

A) 10%
B) 25%
C) 3%
D) 51%


4. When licence applicants submit behaviour regulations including a professional code of ethics, this falls under the category of:

A) technical system
B) employee regulation
C) governance regulation
D) administration regulation


5. To qualify as a big block deal on the ADX's E-Trading system, the securities to be traded must be a minimum of what proportion of the issuer's capital?

A) 0.5%
B) 2.5%
C) 1.0%
D) 2.0%


Solutions:

Question # 1
Answer: D
Question # 2
Answer: A
Question # 3
Answer: B
Question # 4
Answer: C
Question # 5
Answer: C

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