CISI Investment Operations Certificate (IOC) 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:

1. The disclosure of a licensed body's legal status, including the fact that it is licensed by the Authority, is important because:

A) it enables those that might suffer from perceived or actual misbehaviour at the hands of a firm to raise their concerns with the regulator
B) it ensures that no clients suffer from perceived or actual misbehaviour at the hands of a firm which is regulated
C) it allows third party firms to use, utilise, or copy the Authority's logo for any reason and this reassures clients
D) it forces firms to disclose their regulatory status and that they are subject to the Authority's control and supervision

2. Firms providing investment management services must provide periodic statements to retail clients, in normal circumstances at least every:

A) 6 months
B) month
C) 3 months
D) 12 months

3. The last trading day for a West Texas Intermediate (WTI) Light Sweet Oil Futures contract is:

A) The second-last business day of the second month preceding the delivery month
B) The 15th calendar day of the delivery month
C) Two business days prior to the last business day of the delivery month
D) Four business days prior to the 25th calendar day of the month preceding the delivery month

4. What minimum level of annual income must a natural person classed as a qualified investor receive?

A) AED 3 million
B) AED 1 million
C) AED 4 million
D) AED 2 million

5. A key purpose of customer due diligence measures is to address the risk of:

A) Money laundering
B) Embezzlement
C) Insider dealing
D) Cybercrime

Solutions: