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CISI UAE-Financial-Rules-and-Regulations Exam Dumps Questions and Answers

Exam Code: UAE-Financial-Rules-and-Regulations
Vendor: CISI
Last Update: Nov 30, 2025
Questions: 100 With Expert Explanation
10  Customers Passed CISI UAE-Financial-Rules-and-Regulations
90%  Average Success In Real Exam
89%  Questions came word by word from this dump
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CISI UAE Financial Rules and Regulations Exam Questions and Answers

Questions 1

If a discrepancy comes to light when conducting an external reconciliation, what must the firm do?

Options:

A.

Immediately inform the regulator verbally and follow this up in writing

B.

Immediately suspend operations with the third party

C.

Investigate and correct it as soon as possible

D.

Close the client's account by close of business on the same day

Questions 2

The Board of a securities market wished to suspend a rule relating to the operations of that market, why was it unable to do so?

Options:

A.

It failed to seek permission from the Authority

B.

An Authority penalty was pending

C.

A 30-day notice was not provided

D.

The majority of the board was not present

Questions 3

Which of the following is one of the prescribed financial activities for which the Authority can issue a license?

Options:

A.

Analysis

B.

Promotion

C.

Corporate planning

D.

Risk management