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
When a licensed firm refers a client complaint to another body, it must:

A. Suspend handling any part of the complaint that was not referred
B. Continue handling any part of the complaint that was not referred
C. Advise the complainant that they have 30 days to appeal this action
D. Notify the complainant by telephone or email

Question #2
Which of the following is a sanction available to the Authority in the event of a violation of its provisions?

A. Impose a financial fine of not more than AED 100,000
B. Impose a financial fine of not less than AED 100,000
C. Suspend the licensed body for a period of two years
D. Suspend any financial activity practised during an investigation

Question #3
On the Dubai Gold & Commodities Exchange, how many delivery months are available for trading in Dubai India Quanto Crude Oil futures?

A. 2
B. 12
C. 18
D. 6

Question #4
When a firm applies to the Authority for a licence, an internal audit guide must be included setting out procedures which will ensure that:

A. The internal auditor can act independently
B. Internal audits are registered with the correct accounting times
C. The internal auditor is externally nominated
D. Internal audits are carried out at least quarterly

Question #5
A commodities market has failed to pay amounts due to the Authority for three months; however, its operations have not been suspended. Why is this?

A. The matter was brought before the Authority's Board to decide on another course of action
B. The notice to rectify had not yet expired
C. The organisation pays fees annually
D. The Chairman sits on the boards of both organisations

Solutions: