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CISI UAE Financial Rules and Regulations Sample Questions:
1. Membership of an Authority regulated market is obligatory for which of the following entities?
A) Listed joint-stock companies, licensed brokers and any other type of business entity
B) Listed joint-stock companies and licensed brokers
C) Licensed brokers
D) Listed joint-stock companies, licensed brokers and other listed entities
2. The watch list, which is monitored by an Authority-established committee, consists of which group of companies?
A) All public companies which have declared losses in the last 12 months
B) Companies in the first category
C) All private companies which have declared losses in the last 12 months
D) Companies in the second category
3. Under what circumstances must licensed entities provide the Authority with copies of appropriateness reports issued to clients?
A) Only if a complaint is made
B) Routinely on a monthly basis
C) Only if requested by them to do so
D) Routinely on a quarterly basis
4. The minimum price movement for a West Texas Intermediate (WTI) Light Sweet Oil Futures contract is:
A) USS 1 per barrel
B) LISS 0.01 per barrel
C) USS 25 per barrel
D) USS 100 per barrel
5. The last trading day for an India Gold Quanto Futures contract is:
A) one business day prior to the last business day of the delivery month
B) four business days prior to the 25th calendar day of the delivery month
C) two business days prior to the last business day of the delivery month
D) the 25th calendar day of the delivery month
Solutions:
| Question # 1 Answer: D | Question # 2 Answer: A | Question # 3 Answer: C | Question # 4 Answer: B | Question # 5 Answer: C |
By Maria
