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Free UAE-Financial-Rules-and-Regulations Practice Questions — CISI UAE Financial Rules and Regulations Exam Exam Prep

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UAE-Financial-Rules-and-Regulations Practice Questions

CISI UAE Financial Rules and Regulations Exam

Last Update 8 hours ago
Total Questions : 186

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Question # 51

Which of the following acts is considered to constitute the crime of money laundering?

Options:

A.  

Investigating internal reports where concerns of illegal activities are raised by staff

B.  

Transferring or moving proceeds or conducting any transaction with the aim of highlighting or opening their source to scrutiny

C.  

Investigating or checking on the true nature, source or location of proceeds as well as the method involving their ownership

D.  

Acquiring, possessing or using proceeds from an unverified source

Discussion 0
Question # 52

In what circumstances can the requirement for licensed bodies to disclose their legal status be waived?

Options:

A.  

An emergency has been notified to the Authority

B.  

A court case against the licensed body is in progress

C.  

A significant market correction is taking place

D.  

A takeover bid for the licensed body has been launched

Discussion 0
Question # 53

In order to be authorised to deal in investments, which of the following professional roles would the Authority expect to see within the firm?

Options:

A.  

Trading Manager

B.  

Compliance Officer

C.  

Operations Manager

D.  

Broker Representative

Discussion 0
Question # 54

What minimum level of annual income must a natural person classed as a qualified investor receive?

Options:

A.  

AED 1 million

B.  

AED 2 million

C.  

AED 3 million

D.  

AED 4 million

Discussion 0
Question # 55

If the perpetrator of a money laundering crime is a repeat offender, what impact does this have on the minimum fine compared to a first offence?

Options:

A.  

It is increased by 50%

B.  

It is doubled

C.  

It is tripled

D.  

It is quadrupled

Discussion 0
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