Prepare with CISI UAE-Financial-Rules-and-Regulations exam torrent, pass for sure

Updated: Jul 08, 2026

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CISI UAE Financial Rules and Regulations Sample Questions:

1. If there is a material change in the nature of the relevant software, the regulations state that investors who have accepted an offer of crypto assets must be notified:

A) immediately after implementation
B) within no less than 14 days
C) within no less than 7 days
D) promptly in advance


2. The minimum paid-up capital requirement for ranking and advice firms is:

A) AED 50 million
B) none
C) AED 5 million
D) AED 30 million


3. Where a private equity fund is to be incorporated, the incorporation agreement must include a statement indicating:

A) who bears main responsibility for regulatory compliance
B) whether the limited partners can influence investment management
C) whether the investment management will be outsourced
D) who will be appointed auditor for the fund


4. An applicant for a financial activities licence must have procedures in place to recover electronic records from the archive within what maximum period?

A) Five business days
B) Four calendar days
C) Three business days
D) Two calendar days


5. When updating their money laundering compliance framework, firms involved in crypto assets are required to take into account the recommendations of which body?

A) United Nations Office on Drugs and Crime
B) World Bank
C) Bank for International Settlements
D) Financial Action Task Force


Solutions:

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

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