CISI UAE-Financial-Rules-and-Regulations : CISI UAE Financial Rules and Regulations Exam

  • Exam Code: UAE-Financial-Rules-and-Regulations
  • Exam Name: CISI UAE Financial Rules and Regulations Exam
  • Updated: Jul 04, 2026
  • Q & A: 102 Questions and Answers

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CISI UAE Financial Rules and Regulations Sample Questions:

1. If an error in the final cash settlement price of an equity index comes to the attention of the Exchange more than 30 minutes after the publication of the final cash settlement price, what happens?

A) Liability is apportioned
B) It will be re-determined
C) The provider will correct it
D) No correction will be made


2. An applicant for a license from the Authority has submitted a feasibility study and work plan. What method will be used to evaluate this?

A) Comparison with the same sector
B) A stress testing exercise
C) SWOT analysis
D) An operational risk matrix


3. Under what circumstances must licensed entities provide the Authority with copies of appropriateness reports issued to clients?

A) Routinely on a monthly basis
B) Routinely on a quarterly basis
C) Only if requested by them to do so
D) Only if a complaint is made


4. The minimum price movement for a West Texas Intermediate (WTI) Light Sweet Oil Futures contract is:

A) USS 100 per barrel
B) USS 25 per barrel
C) USS 1 per barrel
D) LISS 0.01 per barrel


5. During a trading session, if an order is not fully executed, then:

A) the transaction is executed at the price set on the other side of the transaction
B) the remaining unexecuted volume stays on the trading system, at the last executed price
C) the order will be dealt with at the next trading session
D) the remaining unexecuted volume is cancelled and a new order is placed, at the last executed price


Solutions:

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

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