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

"CISI UAE Financial Rules and Regulations Exam", also known as UAE-Financial-Rules-and-Regulations exam, is a CISI Certification. With the complete collection of questions and answers, iPassleader has assembled to take you through 102 Q&As to your UAE-Financial-Rules-and-Regulations Exam preparation. In the UAE-Financial-Rules-and-Regulations exam resources, you will cover every field and category in Investment Operations Certificate (IOC) Certification helping to ready you for your successful CISI Certification.

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  • Updated on: Jul 10, 2026
  • No. of Questions: 102 Questions & Answers

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  • Updated on: Jul 10, 2026
  • No. of Questions: 102 Questions & Answers

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CISI UAE Financial Rules and Regulations Sample Questions:

1. A real estate investment fund may borrow no more than what percentage of its total assets value?

A) 50%
B) 25%
C) 10%
D) 75%


2. An error was made by a broker which led to a trade being conducted using the wrong trading account number.
If the trader submitted a request to have the number amended 40 minutes after the end of the trading session, the amendment would only be made if:

A) an alteration fee is paid at the same time
B) the correction is within a 5% error margin
C) the circumstances are considered to be exceptional
D) an impact assessment gives acceptable results


3. A public real estate investment fund must distribute at least what percentage of the achieved net profits every year, to the holders of its units?

A) 100%
B) 50%
C) 80%
D) 75%


4. Which of the following financial activities comes under the fifth category licence?

A) Dealing in investments
B) Credit rating agencies
C) Arrangement and advice
D) Dealing in securities


5. The effectiveness of a financial institution's internal policies, controls and procedures to combat money laundering must be tested by:

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


Solutions:

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

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