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CISI UAE-Financial-Rules-and-Regulations Exam Questions - 100% Exam Passing Guarantee [2025]

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CISI UAE Financial Rules and Regulations Exam Sample Questions (Q101-Q106):

NEW QUESTION # 101
When updating their money laundering compliance framework, firms involved in crypto assets are required to take into account the recommendations of which body?

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

Answer: C

Explanation:
Under the UAE's Anti-Money Laundering (AML) and Combating the Financing of Terrorism (CFT) framework, firms, including those involved in crypto assets, are required to align their compliance practices with international standards. The Financial Action Task Force (FATF) provides the global framework and recommendations to combat money laundering and terrorism financing. Firms must adhere to these recommendations to update and maintain their AML compliance programs effectively, ensuring that they remain in line with the best global practices and avoid involvement in illicit activities. The FATF's guidelines specifically address the risks posed by crypto assets and set standards for monitoring, reporting, and controlling potential misuse of such assets for money laundering purposes.
Reference: CISI UAE Financial Rules and Regulations - Anti-Money Laundering Framework and Crypto Assets, Section 9.2.4 (2023).

NEW QUESTION # 102
The last trading day for an India Gold Quanto Futures contract is:

A. two business days prior to the last business day of the delivery month
B. the 25th calendar day of the delivery month
C. one business day prior to the last business day of the delivery month
D. four business days prior to the 25th calendar day of the delivery month

Answer: A

Explanation:
For India Gold Quanto Futures contracts, the last trading day is defined as two business days prior to the last business day of the delivery month. This rule ensures that there is adequate time for the settlement and adjustment of any open positions before the final day of trading. The two-day buffer also allows for the reconciliation of positions, making the futures market more efficient and reducing the likelihood of disputes regarding settlement. This is in line with global standards for futures contracts where the settlement and final trading days are clearly defined to protect market integrity and investor interests.
Reference: CISI UAE Financial Rules and Regulations - Futures Contract Trading, Section 8.2.4 (2023).

NEW QUESTION # 103
Which of the following is an administrative penalty that can be imposed on financial institutions that violate the law and regulations in relation to money laundering and terrorism financing?

A. A penalty of no less than AED 100,000 and no more than AED 10,000,000 for each violation
B. A penalty of no less than AED 5,000 and no more than AED 1,000,000 for each violation
C. A penalty of no less than AED 15,000 and no more than AED 5,000,000 for each violation
D. A penalty of no less than AED 50,000 and no more than AED 5,000,000 for each violation

Answer: D

Explanation:
Under Federal Law No. 20 of 2018 and CISI UAE Financial Rules and Regulations, financial institutions that violate anti-money laundering (AML) and counter-terrorism financing (CTF) laws may be subjected to administrative penalties ranging from no less than AED 50,000 and no more than AED 5,000,000 for each violation. These substantial fines underscore the UAE's commitment to stringent AML/CTF enforcement and deterrence. Administrative penalties are imposed alongside other measures such as corrective actions and possible criminal sanctions, ensuring comprehensive regulatory oversight.
Reference: CISI UAE Financial Rules and Regulations - AML Enforcement and Penalties, Section 8.5.4 (2023).

NEW QUESTION # 104
A vote carried out by the board of the Authority resulted in a tie. What happens in these circumstances?

A. The chairman or their deputy is granted the casting vote
B. The decision is postponed until another vote can be taken
C. The vote for the resolution is automatically carried
D. The vote against the resolution is automatically carried

Answer: A

Explanation:
Under the CISI UAE Financial Rules and Regulations, in the event of a tie vote by the board of the Authority, the chairman or their deputy is granted the casting vote to resolve the deadlock. This mechanism ensures decisions can be made efficiently without indefinite postponement. The casting vote provides a decisive voice to the chair in balancing the board's decisions, reflecting common governance principles in corporate and regulatory bodies. Automatic carriage or rejection of resolutions without further input is not allowed, and postponement is typically avoided to maintain regulatory effectiveness.
Reference: CISI UAE Financial Rules and Regulations - Governance and Board Procedures, Section 2.4.8 (2023).

NEW QUESTION # 105
What does the Authority usually do before deciding to delist a company's shares?

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

Answer: C

Explanation:
Before deciding to delist a company's shares, the regulatory authority typically follows a procedure designed to ensure that the company has an opportunity to rectify any issues. According to the CISI UAE Financial Rules and Regulations, the Authority usually issues an improvement notice of 30 days to the company. This notice outlines the deficiencies or non-compliance issues that the company needs to address in order to avoid delisting. The 30-day period allows the company time to correct the issues, such as failure to meet financial reporting requirements, governance standards, or other operational obligations. This approach ensures fairness and transparency before taking any drastic actions like delisting.
Reference: CISI UAE Financial Rules and Regulations - Delisting Procedures, Section 2.5.3 (2023).

NEW QUESTION # 106
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Nick Harris Nick Harris

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