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CISI UAE Financial Rules and Regulations Sample Questions:

1. Customer due diligence measures require management approval if the natural person involved is:

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

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

3. What is the maximum term of imprisonment that can be imposed on a person who attempts to commit the crime of money laundering?

A) Ten years
B) Three years
C) Five years
D) Seven years

4. The conciliation process allows the Authority to impose what alternative to criminal prosecution?

A) Negotiated out-of-court settlement
B) Payment of a prescribed amount of money
C) Referral to the Central Bank
D) Suspension of activities for a specified period

5. Which of the following financial activities comes under the fifth category licence?

A) Dealing in securities
B) Dealing in investments
C) Credit rating agencies
D) Arrangement and advice

Solutions: