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:

Question #1

Where a client is a legal person, the customer due diligence obligations require verification of identity for any natural persons holding what minimum controlling ownership interest?

A. 10%
B. 25%
C. 51%
D. 3%

Question #2

A licensed person who conducts financial activities related to security tokens is required to carry out a suitability check only if:

A. the token falls into the high risk category
B. the licensed person has less than 3 years' relevant experience
C. the amount being invested exceeds AED 100,000
D. the client is not a qualified investor

Question #3

The summary of an in-kind shares evaluation report must state the:

A. Book value of the asset
B. Qualifications of the evaluator
C. Evaluator's company
D. Fair value of the asset

Question #4

The semi-annual financial report for a local investment fund must be audited by an external auditor within what maximum period following the end of the reporting period?

A. 3 months
B. 2 months
C. 45 days
D. 35 days

Question #5

If the listing of a debt security is suspended for more than six months, what action is the Authority entitled to take?

A. Cancel the listing
B. Demand an immediate recovery plan from the issuer
C. Place the listing on an at-risk register
D. Levy a fine against the issuer

Solutions: