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CISI Investment Operations Certificate (IOC) UAE-Financial-Rules-and-Regulations Braindumps

UAE-Financial-Rules-and-Regulations

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

Exam Name: CISI UAE Financial Rules and Regulations Exam

Updated: Jul 17, 2026

Q & A: 102 Questions and Answers

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CISI UAE Financial Rules and Regulations Sample Questions:

1. A joint-stock company applying for a licence to conduct clearing activities in a commodity market recently appointed a new chairman and a new CEO. Why did this lead to the application being refused?

A) They had been employed by the company during the previous year
B) Only the chairman held a tranche of the company's shares
C) They were supported by just three other board members
D) Only the CEO's compensation had been approved by the Authority


2. An obligor with a retail primary listing of Sukuk immediately notified the Authority when one of its board directors was replaced. Why was the obligor considered to be in breach of its continuing obligations?

A) The obligor failed to also notify the market
B) The new director had less than 5 years' experience
C) The new director held a foreign passport
D) The obligor failed to give 14 days' notice


3. In order for the contents of a financial promotion which quotes yield figures to satisfy the clear, fair, and not misleading rule, it should:

A) ensure all monetary examples are calculated to at least two decimal places
B) always assume the communication is intended for a retail client
C) make the promotion available simultaneously in printed form and online
D) give a balanced impression of both short and long term prospects


4. Membership of an Authority regulated market is obligatory for which of the following entities?

A) Listed joint-stock companies and licensed brokers
B) Listed joint-stock companies, licensed brokers and other listed entities
C) Licensed brokers
D) Listed joint-stock companies, licensed brokers and any other type of business entity


5. 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) 75%
B) 80%
C) 100%
D) 50%


Solutions:

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

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