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

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CISI UAE Financial Rules and Regulations Sample Questions:

1. If an existing company wants to offer shares after conversion into a public joint-stock company, it must have released audited financial statements for what minimum number of fiscal years prior to the request to offer shares?

A) Two
B) Five
C) Three
D) Four

2. What does the Authority usually do before deciding to delist a company's shares?

A) Issue a fine for payment within 30 days
B) Consult with the relevant firm
C) Consult with the relevant market
D) Issue an improvement notice of 30 days

3. 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

4. The effectiveness of a financial institution's internal policies, controls and procedures to combat money laundering must be tested by:

A) an independent audit function
B) external consultants
C) the audit committee
D) regular operational resilience exercises

5. When licence applicants submit behaviour regulations including a professional code of ethics, this falls under the category of:

A) employee regulation
B) technical system
C) administration regulation
D) governance regulation

Solutions: