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Exam Code: UAE-Financial-Rules-and-Regulations
Exam Questions: 100
CISI UAE Financial Rules and Regulations
Updated: 24 May, 2026
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Practicing : 1 - 5 of 100 Questions
Question 1

When establishing a local investment fund, how much are the founders required to subscribe?

Options :
Answer: C

Question 2

If an error in the final cash settlement price of an equity index comes to the attention of the Exchange more than 30 minutes after the publication of the final cash settlement price, what happens?

Options :
Answer: A

Question 3

Under what circumstances must licensed entities provide the Authority with copies of appropriateness reports issued to clients?

Options :
Answer: D

Question 4

A brokerage firm’s records include client agreements, selling orders and accounts. Under the Professional Code of Conduct, which of these does the DFM have the right to access and review?

Options :
Answer: D

Question 5

When collecting data from official authorities, evaluators of investment fund in-kind shares are required to abide by the principles of honesty, justice and:

Options :
Answer: A

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