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CISI UAE Financial Rules and Regulations Exam Sample Questions (Q15-Q20):

NEW QUESTION # 15
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. 75%
C. 80%
D. 50%

Answer: C

Explanation:
The CISI UAE Financial Rules and Regulations specify that public real estate investment funds are mandated to distribute a minimum of 80% of their achieved net profits annually to unit holders. This distribution requirement ensures that investors receive regular income from the fund's operations, promoting investor confidence and fairness. It also aligns with the principle of pass-through taxation and transparency in fund performance. The regulation balances income distribution with fund sustainability, allowing the retention of a portion of profits for operational needs and growth.
Reference: CISI UAE Financial Rules and Regulations - Real Estate Investment Funds, Profit Distribution Requirements, Section 6.7.2 (2023).

NEW QUESTION # 16
The contract size for trading in Silver Futures on the Dubai Gold & Commodities Exchange is 1,000 troy ounces of refined silver, plus or minus what prescribed margin?

A. 5%
B. 2%
C. 10%
D. 1%

Answer: A

Explanation:
For Silver Futures contracts on the Dubai Gold & Commodities Exchange (DGEX), the contract size is 1,000 troy ounces of refined silver, with a prescribed margin of 5%. The margin requirement ensures that traders have sufficient collateral to cover potential price fluctuations in the market. The 5% margin provides a balance between allowing for liquidity in the market and managing the risks associated with futures trading.
This is a standard margin level designed to protect both market participants and the exchange from extreme volatility or defaults.
Reference: CISI UAE Financial Rules and Regulations - Silver Futures Trading on DGEX, Section 7.1.3 (2023).

NEW QUESTION # 17
Customer due diligence measures require management approval if the natural person involved is:

A. a politically exposed person
B. registered as disabled
C. normally resident outside the State
D. under the age of 21

Answer: A

Explanation:
Federal Law No. 20 of 2018 and related CISI UAE Financial Rules specify that enhanced customer due diligence procedures require management approval when the client is a politically exposed person (PEP).
PEPs present higher risks due to their potential access to public funds and influence, increasing vulnerability to corruption or money laundering. Management approval ensures senior oversight in onboarding and monitoring PEP clients, aligning with international AML/CTF best practices. Other conditions such as residency or age do not mandate this elevated level of scrutiny. This regulatory requirement enhances governance and mitigates reputational and compliance risks associated with politically exposed persons.
Reference: CISI UAE Financial Rules and Regulations - AML Regulations, Enhanced Due Diligence, Section 8.1.7 (2023).

NEW QUESTION # 18
The statement in a suitability report giving reasons for the recommendation must also indicate:

A. why the next best product or service was disregarded
B. whether or not the client has accepted this guidance
C. the client's ability to bear any risks and losses
D. the extent to which the author is qualified to make this judgement

Answer: C

Explanation:
In CISI UAE Financial Rules and Regulations, suitability reports must include a clear statement addressing the client's ability to bear any risks and losses associated with the recommended financial product or service.
This disclosure ensures that recommendations are made with a full understanding of the client's financial capacity and risk tolerance, protecting clients from unsuitable advice. While explanations about alternative products, client acceptance, and author qualifications are relevant, the ability to bear risk is essential to justify the recommendation and meet regulatory standards for investor protection.
Reference: CISI UAE Financial Rules and Regulations - Client Protection and Suitability Reporting, Section
4.3.11 (2023).

NEW QUESTION # 19
The watch list, which is monitored by an Authority-established committee, consists of which group of companies?

A. Companies in the second category
B. All private companies which have declared losses in the last 12 months
C. All public companies which have declared losses in the last 12 months
D. Companies in the first category

Answer: C

Explanation:
Per CISI UAE Financial Rules and Regulations, the watch list monitored by the Authority's committee consists of all public companies that have declared losses in the last 12 months. These companies are subject to closer regulatory scrutiny to protect investors and maintain market stability. Monitoring focuses on financial health indicators that might signal increased risk, ensuring timely intervention if necessary. Private companies are generally not included in this watch list, which targets publicly traded entities with broader investor impact.
Reference: CISI UAE Financial Rules and Regulations - Market Surveillance and Watch List, Section 5.6.4 (2023).

NEW QUESTION # 20
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