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CISI UAE Financial Rules and Regulations Exam Sample Questions (Q16-Q21):

NEW QUESTION # 16
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 vote for the resolution is automatically carried
C. The vote against the resolution is automatically carried
D. The decision is postponed until another vote can be taken

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 # 17
A real estate investment fund may borrow no more than what percentage of its total assets value?

A. 75%
B. 50%
C. 25%
D. 10%

Answer: B

Explanation:
According to the CISI UAE Financial Rules and Regulations, real estate investment funds are subject to borrowing limits to ensure financial stability and prevent excessive leverage. A real estate investment fund may borrow no more than 50% of its total assets value. This limit helps mitigate the risks associated with high levels of debt and ensures that the fund remains adequately capitalized to handle fluctuations in the real estate market. By restricting the borrowing capacity, the regulations aim to protect investors and ensure the fund's long-term sustainability.
Reference: CISI UAE Financial Rules and Regulations - Borrowing Limits for Real Estate Investment Funds, Section 6.1.5 (2023).

NEW QUESTION # 18
Which category of firm is required to provide accounts using a 'Unified Centralised Back Office System'?

A. Category 2 - Dealing in investments
B. Category 3 - Custody, clearing and recording
C. Category 4 - Credit rating agencies
D. Category 1 - Dealing in securities

Answer: B

Explanation:
Firms engaged in custody, clearing, and recording activities are required by UAE financial regulations to use a 'Unified Centralised Back Office System' to maintain and manage their accounts. This requirement is outlined in the CISI UAE Financial Rules and Regulations under Category 3 firms, which include those involved in custodial services, clearing, and recording of transactions. The centralized system ensures that these firms can manage large volumes of transaction data securely and efficiently while adhering to regulatory standards for reporting and transparency. It is designed to streamline operational processes and reduce risks related to errors, fraud, or data mismanagement.
Reference: CISI UAE Financial Rules and Regulations - Unified Centralised Back Office System, Section
7.1.3 (2023).

NEW QUESTION # 19
Customer due diligence measures require management approval if the natural person involved is:

A. under the age of 21
B. registered as disabled
C. a politically exposed person
D. normally resident outside the State

Answer: C

Explanation:
Federal Law No. 20 of 2018 and related CISI UAE Financial Rules specify that enhanced customer due diligence procedures require management approval when the client is a politically exposed person (PEP).
PEPs present higher risks due to their potential access to public funds and influence, increasing vulnerability to corruption or money laundering. Management approval ensures senior oversight in onboarding and monitoring PEP clients, aligning with international AML/CTF best practices. Other conditions such as residency or age do not mandate this elevated level of scrutiny. This regulatory requirement enhances governance and mitigates reputational and compliance risks associated with politically exposed persons.
Reference: CISI UAE Financial Rules and Regulations - AML Regulations, Enhanced Due Diligence, Section 8.1.7 (2023).

NEW QUESTION # 20
The policies of a firm applying for a financial activities licence must include arrangements to provide a copy of its complaints handling procedure to clients:

A. within 48 hours of accepting the client
B. on receipt of a complaint
C. on request
D. within 24 hours of accepting the client

Answer: C

Explanation:
Under the CISI UAE Financial Rules and Regulations, firms applying for a financial activities licence are required to have formal policies addressing client protection, including clear complaints handling procedures.
Such firms must make these proceduresavailable to clients on request, ensuring transparency and accessibility without imposing undue burden on clients or firms. The regulatory framework does not mandate automatic distribution within fixed timeframes upon client acceptance or complaint receipt but emphasizes accessibility and prompt responsiveness when clients seek the information. This approach balances operational feasibility and client rights to be informed about how their complaints will be managed. Providing the procedure upon request also fosters a trust-based relationship and helps resolve disputes effectively.
Reference:CISI UAE Financial Rules and Regulations - Client Protection and Complaints Handling, Section 4.2.7 (2023).

NEW QUESTION # 21
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