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

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

CISI UAE Financial Rules and Regulations Sample Questions:

Question #1

A failure to report suspicions, or gross negligence in implementing processes and procedures in relation to suspicions of money laundering, can result in a fine of:

A. no less than AED 100,000 and no more than AED 1,000,000
B. no less than AED 100,000 and no more than AED 5,000,000
C. no less than AED 50,000 and no more than AED 1,000,000
D. no less than AED 1,000,000 and no more than AED 10,000,000

Question #2

Why might employees in one part of a regulated business be permitted to withhold information from employees in another part of the business?

A. To comply with a Chinese wall
B. At the request of the audit function
C. Prevention of insider trading
D. Strict privacy of client information

Question #3

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

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

Question #4

When promoting private funds, related materials must:

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

Question #5

The whistleblowing policy submitted by an applicant for a financial activities licence must include a mechanism for:

A. ensuring all staff have a named reporting contact
B. escalating any reports to board level
C. protecting the reporting employee
D. disciplining staff proven to have breached rules

Solutions: